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 Overview
Alternatives Compliance Programme Focus
The primary responsibility of this role is to work within the EMEA Regulatory Compliance team, supporting the execution and continued evolution of PIMCO's Compliance programme, with a particular focus on the Alternatives business and the EMEA Control Group.
The role combines hands‑on compliance oversight with practical, commercial advisory support across the investment lifecycle, while contributing to the ongoing enhancement of PIMCO's risk‑based Compliance programme.
The successful candidate will embrace technology, automation and firm‑approved AI tools to improve the quality, efficiency, consistency and scalability of Compliance processes, while applying sound judgement and maintaining appropriate governance and oversight.
Key Responsibilities
Alternatives Compliance Advisory and Oversight
- Act as a trusted compliance partner to Alternatives portfolio managers, product strategists, support teams and business leaders, providing practical, commercial and risk‑based advice in a fast‑paced environment.
- Advise on new strategies, fund formations, co‑investments, third‑party relationships and conflicts, partnering with Legal and other stakeholders to identify and mitigate regulatory, conduct and reputational risks.
- Provide compliance support throughout the investment lifecycle, including transaction‑related due diligence and the assessment of counterparties, ownership and control structures, beneficial ownership arrangements and other complex risk factors.
- Execute and enhance compliance monitoring and controls relating to allocations, conflicts of interest and inside information and other relevant risk‑based compliance risks.
Anti‑Financial Crime and Transaction Risk
- Assess AML/KYC, sanctions, anti‑bribery and corruption, fraud, tax evasion, third‑party and reputational risks associated with transactions, counterparties and new business initiatives.
- Conduct and document risk‑based reviews in a clear, consistent and audit‑ready manner, escalating material issues and recommending appropriate mitigants.
- Constructively challenge business proposals and identify practical, compliant solutions to complex regulatory and financial crime matters.
Control Group Support
- Support the EMEA Control Group in managing information barriers, restricted and watch lists, wall crossings and market soundings, MNPI and inside information assessments, and conflicts reviews.
- Contribute to monitoring and surveillance activities, helping ensure controls remain effective, appropriately documented and responsive to evolving business and regulatory requirements.
Programme Development, Governance and Reporting
- Support the execution of the EMEA Compliance Monitoring Programme and contribute to the continued development of the broader risk‑based Compliance programme.
- Identify emerging regulatory and compliance risks affecting the Alternatives business and wider PIMCO platform, recommending proportionate enhancements to policies, controls and governance frameworks.
- Produce timely and relevant management information and brief senior leadership on key risks, issues, trends and regulatory developments.
- Contribute to, and where appropriate lead, local, regional and global projects and working groups across the global Alternatives Compliance team.
Technology, Data and AI
- Leverage firm‑approved technology, data analytics and AI‑enabled tools to enhance research, due diligence, regulatory analysis, document review, reporting and workflow management.
- Identify opportunities for automation and process enhancement, developing scalable compliance solutions while maintaining appropriate judgement, challenge and control standards.
- Critically assess and validate AI‑generated outputs before relying on them for business decisions or compliance advice, with appropriate consideration of model limitations, privacy, confidentiality, bias and governance.
- Share best practices and support the responsible adoption of technology and AI across Compliance and relevant business.
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