At a Glance
- Tasks: Support compliance in alternative investments and enhance risk management processes.
- Company: Join PIMCO, a global leader in active fixed income with an inclusive culture.
- Benefits: Competitive salary, diverse work environment, and opportunities for professional growth.
- Other info: Collaborative team atmosphere with a focus on personal development.
- Why this job: Make a real impact in compliance while embracing technology and innovation.
- Qualifications: Experience in compliance and knowledge of UK/EU regulations required.
The predicted salary is between 54000 - 66000 £ per year.
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, inside information, anti-financial crime and other relevant 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 teams.
Requirements
Education and Alternatives Compliance Experience
- Bachelor’s degree or equivalent qualification in a relevant subject area is required.
- Extensive compliance experience supporting alternative investments and private markets, with strong knowledge of relevant UK and EU regulatory requirements.
- Experience across private credit, real estate debt and equity, specialty finance, structured investments and/or distressed credit is desirable.
- Practical anti-financial crime (AFC) experience, including AML/KYC, sanctions, anti-bribery and corruption, fraud, tax evasion prevention and third-party risk management.
- Experience conducting transaction due diligence, including assessment of counterparties, beneficial ownership, and complex ownership and control structures.
- Experience with conflicts management, MNPI/inside information, information barriers, restricted and watch lists, wall crossings, market soundings and Control Group activities is highly desirable.
- Compliance Advisory and Risk Management
- Demonstrated ability to provide practical, commercial and risk-based compliance advice to Alternatives investment professionals and senior stakeholders.
- Strong judgement in assessing regulatory, conduct, reputational and financial crime risks, with the ability to constructively challenge proposals and identify compliant solutions.
- Experience developing and enhancing risk-based compliance monitoring, controls and governance, with clear and audit-ready documentation.
- Technology and Professional Skills
- Ability to leverage technology, data analytics, automation and firm-approved AI tools responsibly to enhance compliance activities and processes.
- Excellent communication and organisational skills, with the ability to translate complex matters into clear, practical advice and manage multiple priorities effectively.
- Collaborative team player with high professional standards, integrity and a strong client-service orientation.
- 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.
Alternatives Compliance Officer in London employer: Pimco
PIMCO is an exceptional employer, offering a dynamic work environment in the heart of London where innovation and collaboration thrive. With a strong focus on employee development, we provide ample opportunities for growth and advancement within the financial sector, alongside competitive benefits that support work-life balance. Join us to be part of a team that values strategic thinking and fosters meaningful relationships in the fast-paced world of trading.
StudySmarter Expert Advice🤫
We think this is how you could land Alternatives Compliance Officer in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Pimco looking for candidates who are engaged and informed.
We think you need these skills to ace Alternatives Compliance Officer in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Pimco. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Pimco
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Pimco’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
