Senior Associate, Fund Regulatory and Risk Operations

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

The team plays an essential role in ensuring the day-to-day operational excellence of reporting to U.S. regulators, including the SEC, CFTC, NFA, and FINRA.

As a Senior Associate, you will be key in contributing to PIMCO processes around existing reporting regimes, as well as through the implementation of growing regulatory reporting requirements. We are seeking a proactive and analytical individual to assist with the completion of various regulatory and lobbyist filings. This person will also assist in the day-to-day operational oversight of various reporting that has been outsourced to service providers, ensuring the accuracy and completeness of final reporting documents and backup validations. This role requires someone who can identify discrepancies, ask probing questions, and dig deeper into the data. The ideal candidate will have a solid understanding of regulatory filings such as Form ADV, Form 600, and 17-H.

Key responsibilities include improving oversight and identifying opportunities for process improvements and cross-validation across different forms and reports. The candidate will support leadership and have growth opportunities including cross-functional engagement and projects.

About You

If the following qualities resonate with you, we encourage you to apply for this exciting opportunity. At PIMCO, we offer a dynamic work environment where you will have the chance to make a meaningful impact:

Exceptional Organizational Skills and Resourcefulness: You excel in managing multiple projects with outstanding organizational and project management abilities. Your critical thinking skills enable you to solve complex problems creatively and resourcefully. You are self-motivated, committed to excellence, and demonstrate strong attention to detail, along with excellent interpersonal and communication skills.
Adaptability and Collaboration: You thrive in dynamic, fast-paced environments, adept at navigating shifting priorities and ambiguity. Collaboration is key to your approach, as you build positive relationships and work effectively across diverse teams. Your emotional intelligence, adaptability, and resilience equip you to manage unstructured processes and demanding responsibilities successfully.
Integrity and Continuous Learning: Your actions reflect high ethical standards and integrity, earning you credibility and trust. As an intellectually curious individual, you are dedicated to professional development and staying abreast of industry trends.

Position Development Value

Contribute to the build-out and success of firm-wide processes to support regulatory reporting requirements.
Lead PIMCO in the industry with processes around regulatory reporting and the implementation of growing regulatory reporting requirements.
Engage in an open learning environment focused on regulatory reporting requirements, core operational processes, and procedures.
Directly contribute to PIMCO's regulatory reporting operations.
Gain extensive exposure to industry experts within PIMCO Operations and across other functional areas of the firm.
Collaborate with talented colleagues cross-functionally and globally.
Receive constructive feedback to foster career growth in addition to a formal annual review process.
Participate in cross-functional technology projects, adapting to new or amended regulations, and incorporating AI as applicable.

Responsibilities

The key responsibilities include, but are not limited to:

Produce accurate, complete, timely reporting, including, but not limited to, preparation of certain U.S. regulatory filings and state and local lobbyist filings, reviewing and interpreting regulatory reporting requirements, monitoring reporting thresholds, maintaining procedures governing filing workflows, and review of offering documents for regulatory consideration.
Provide oversight of managed service provider reporting; act as an escalation point for reporting exceptions and for navigating structural reporting issues.
Coordinate with internal and external teams to ensure the timely and accurate completion of regulatory reports and responding to various information requests, including 3rd party, client, and investor requests related to filings.
Partner with technology, vendors, and across functions to continuously improve processes and seek efficiencies.
Assist with ad hoc projects, including improvements related to fund events, dependency governance, scoping and cross-functional reporting.

Qualifications

Minimum of a bachelor’s degree from an accredited college/university preferred in Accounting or Finance major
3+ years of work experience in the investment management or financial service industry, with a focus on mutual fund regulatory reporting, regulatory compliance, or accounting.
Experience with the implementation of US regulatory reporting and/or direct responsibility for operational teams supporting the day-to-day processes related to regulatory reporting.
Ability to interpret regulatory guidance and review operational output, and navigate across functions to ensure optimal output.
Ability to work independently and across various teams to review and resolve issues, problem-solve, and escalate when needed.
Strong aptitude to work with data. Analytical mindset, proficient with Excel functions/formulas, with attention to detail.
Broad understanding of registered investment companies, fund administration functions, financial products, securities law, and investment accounting.
Excellent project management skills, with experience implementing and improving processes and change management.