Regulatory Compliance Officer - Client Facing ME&A Branch Oversight (London) - PIMCO

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
PIMCO is seeking a highly skilled and motivated Compliance Expert to join its EMEA Regulatory Compliance team in London. This role will focus on client-facing activities and financial promotions in EMEA, particularly in the Middle East and Africa (ME&A), including oversight of applicable regulatory frameworks for PIMCO's DIFC branch.
The successful candidate will be responsible for maintaining a best-in-class EMEA client facing compliance program, providing pragmatic regulatory advice to PIMCO EMEA's client facing activities, particularly in ME&A, and ensuring compliance across PIMCO's legal entities and branches in key locations, particularly PIMCO's DIFC branch. The role requires a proactive approach to managing compliance initiatives related to new products, ESG requirements, marketing strategies, and regulatory changes.
Key Responsibilities

• Compliance Program Management: Maintain and enhance PIMCO's EMEA Compliance program for Client Facing, Marketing, and ESG activities, ensuring it meets industry standards and regulatory requirements
• Branch and License Oversight: Maintain and further develop an effective framework for overseeing branch activities, particularly in the ME&A, ensuring compliance of PIMCO's branches and licenses with applicable regulatory frameworks
• Regulatory Advisory: Provide practical, clear, and actionable compliance advice on policies and procedures to support business operations, ensuring alignment with applicable regulations
• Monitoring and Testing: Conduct compliance monitoring and testing to ensure adherence to regulatory frameworks, identifying areas for improvement, and implementing necessary changes
• Regulatory Horizon Scanning: Perform ongoing analysis of the regulatory environment, including horizon scanning for changes and expectations from regulators, to proactively adapt the compliance program
• Stakeholder Collaboration: Work closely with business teams, including client-facing distribution, marketing, ESG, and regional stakeholders, to foster a strong compliance culture and manage expectations effectively
• Regional and Cross-Border Expertise: Quickly develop a deep understanding of ME&A -specific regulatory requirements and cross-border marketing themes, with a focus on building strong relationships with regional stakeholders such as DIFC branch teams
• Training and Development: Facilitate training sessions and workshops to educate staff on compliance policies, procedures, and best practices, fostering a culture of compliance and continuous improvement
• Leadership and Team Management: Demonstrate the potential to manage and develop teams, including overseeing local compliance consultants and MLROs, especially in high-risk regions like ME&A

Requirements

• Client Facing Distribution Experience Proven experience in client-facing distribution activities including ME&A, with a strong understanding of associated regulatory requirements and best practices
• Regulatory Expertise: Deep understanding of EU asset management regulations, UCITS, AIFMD, and cross-border distribution requirements, particularly in the ME&A. Knowledge of UK, EU, and ME&A regulatory landscapes is highly desirable
• Proactive and Self-Starter Attitude: Demonstrated initiative in implementing regulations such as SFDR, with a track record of taking ownership of compliance projects
• Stakeholder Collaboration: Ability to work effectively with diverse teams, including business units, external regulators, and regional stakeholders, fostering positive relationships
• Regulatory Monitoring and Oversight: Experience in compliance monitoring, financial promotion, marketing reviews, and regulatory change management, with an audit-ready, risk-based approach
• Negotiation Skills: Capable of managing client expectations and internal negotiations, balancing business needs with regulatory requirements
• Independence and Coordination: Ability to work autonomously, managing multiple deliverables and liaising with internal and external parties
• Attention to Detail: Diligent record-keeping and meticulous approach to compliance activities

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.