Trade Compliance Associate
Location: Newport Beach
Posted on: November 16, 2020
Ref #: 29285
Functional Area: Compliance
Employee Type: Full Time
Location: Newport Beach
Date published: 21-Sep-2020
We are PIMCO, a leading global asset management firm. We manage
investments and develop solutions across the full spectrum of asset
classes, strategies and vehicles: fixed income, equities,
commodities, asset allocation, ETFs, hedge funds and private
equity. PIMCO is one of the largest investment managers, actively
managing more than $1.92 trillion in assets for clients around the
world. PIMCO has over 2,800 employees in 17 offices globally. PIMCO
is recognized as an innovator, industry thought leader and trusted
advisor to our clients.
PIMCO is one of the world's premier fixed income investment
managers with thousands of professionals around the world united in
a single purpose: creating opportunities for our clients in every
environment. Since 1971, we have brought innovation and expertise
to our partnership with the institutions, financial advisors and
millions of individual investors who entrust us with their assets.
We aspire to cultivate performance and leadership through
empowering our people, diversity of thought, and a commitment to an
inclusive culture that engages in our global communities.
The Trade Compliance group is responsible for completing pre and
post trade analysis of global trades to ensure compliance of those
trades with the respective client, regulatory and other applicable
guidelines. To resolve issues, the Compliance Analyst must be able
to manipulate and analyze data from holdings and securities
databases and where required, work with the appropriate Portfolio
Manager, Account Manager and/or members of the Legal and Compliance
This position is an ideal opportunity for individuals interested in
a career in the fast paced, fixed income and equity markets. In
this role, you will be expected to learn about securities, trade
strategies, the impact of trades to client portfolios, and what
client guidelines are intended to do.
- Checking daily trading activity using proprietary compliance
software against client account guidelines.
- Interacting with Account and Portfolio Management as well as
the Legal department on regulatory and guideline questions,
providing timely identification, escalation and resolution of trade
- Developing and maintaining workbooks and spreadsheets to
increase efficiency at time of trade and to support management in
- Possess strong analytical skills and excellent attention to
- Must have effective verbal and written communication
- Capable of managing multiple tasks with tight deadlines.
- Possess strong problem solving ability.
- Maintain a professional demeanor and accuracy in both a routine
and highly pressurized environment.
- Display a sense of teamwork and commitment to quality.
- Flourish in a challenging, fast paced, professional environment
with frequent shifts and occasional long working hours as business
- Ability to be an independent learner with a curious nature
- Relevant undergraduate degree and/or equivalent work experience
- Understanding of the Fixed Income and/or Equity markets.
- Strong knowledge of MS Excel and VBA required, SQL a plus.
- Experience using MS Access and MS Query/Business Objects a
- CFA designation or active status in the CFA program is a
PIMCO is committed to offering a comprehensive portfolio of
employee benefits designed to support the health and well-being of
you and your family. Benefits vary by location but may include:
- Medical, dental, and vision coverage
- Life insurance and travel coverage
- 401(k) (defined contribution) retirement savings, retirement
plan, pension contribution from your first day of employment
- Work/life programs such as flexible work arrangements, parental
leave and support, employee assistance plan, commuter benefits,
health club discounts, and educational/CFA certification
- Community involvement opportunities with The PIMCO Foundation
in each PIMCO office
Keywords: PIMCO, Newport Beach , Trade Compliance Associate, Other , Newport Beach, California
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