Associate, Trade Compliance

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients’ capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world’s largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns.

Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking.  We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients.

POSITION DESCRIPTION

Do you love to learn? Do you enjoy problem solving? Do you like to innovate? Then this is an exciting opportunity to work in a fast-paced, dynamic environment alongside a diverse group of highly motivated professionals.

In this role, you will gain exposure to trade activity, investment strategies, portfolio construction, and the implementation of regulatory and client investment guidelines. The Trade Compliance team is responsible for reviewing fixed income and equity transactions on both a pre- and post-trade basis to ensure compliance with applicable restrictions and regulations. You will have broad exposure to the Investment Guideline Compliance process and will partner closely with teams across Legal & Compliance, Technology, Account Management, Product Strategy, Operations, and the Trade Floor. 

As the compliance landscape continues to evolve, the team is increasingly focused on leveraging technology, automation, data analytics, and AI-enabled solutions to enhance operational efficiency, strengthen risk monitoring, and support continuous process improvement. This role offers the opportunity to contribute to these initiatives while developing deep expertise in investment compliance.

On a given day, your responsibilities might include:

• Analyzing transactions and portfolio holdings against regulatory, client, and internal guidelines, and calculating relevant risk metrics.

• Researching and responding to investment guideline inquiries from the Trade Floor and other internal and external stakeholders.

• Monitoring compliance alerts and ensuring trade activity is reviewed and compliant by the end of each business day. 

• Preparing and distributing compliance reports and management information to relevant internal stakeholders.

• Partnering with Compliance, Technology, and Operations teams to identify opportunities to improve processes, controls, and reporting.

• Participating in initiatives focused on optimizing, automating, and scaling Trade Compliance processes through technology-enabled solutions.

• Leveraging data analytics, workflow tools, and emerging technologies, including AI-enabled solutions where appropriate, to support monitoring, investigation, and reporting activities.

• Contributing to projects that improve data quality, operational efficiency, and the effectiveness of compliance oversight.

You will excel in this role if you:

• Demonstrate a strong sense of integrity and personal accountability. 

• Learn and adapt to new processes, concepts, systems, and technologies quickly.

• Exhibit exceptional attention to detail and a commitment to quality.

• Possess strong communication and interpersonal skills and enjoy collaborating across functions.

• Demonstrate intellectual curiosity and a proactive approach to problem solving.

• Have a continuous improvement mindset and seek opportunities to enhance processes through technology and automation.

• Are comfortable learning and utilizing new tools, including data analytics and AI-enabled solutions, to improve workflows and decision-making.

• Take initiative and contribute meaningfully to the growth and evolution of the department. 

You will need this experience:

• Bachelor's degree in Finance, Economics, Accounting, Business, or a related discipline.

• 2+ years of professional experience within Compliance, Asset Management, Financial Services, or a related field.

• Basic knowledge of global fixed income and equity markets, including financial instruments such as bonds, equities, and derivatives.

• Intermediate to advanced proficiency in Microsoft Excel.

• Demonstrated ability to analyze data and identify trends, anomalies, or issues requiring investigation.

Additional qualifications that are helpful, but not required:

• Experience monitoring transactions within an investment compliance system. 

• Basic familiarity with AI tools and a willingness to apply AI-enabled capabilities to improve efficiency, research, and problem-solving.

• Experience with Bloomberg or similar market data platforms.

• CFA designation or active progress toward the CFA Program.

• Exposure to automation, workflow, reporting, or data visualization tools such as Power BI, Tableau, Alteryx, or similar platforms.

• Familiarity with emerging technologies and AI-enabled tools, and an interest in applying them responsibly within a regulated environment.

• Experience participating in process improvement, digital transformation, or technology implementation initiatives.

Equal Employment Opportunity and Affirmative Action Statement

PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws.

Applicants with Disabilities

PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.