VP, Regulatory Compliance - 12m Contract (Munich)

Overview

PIMCO is seeking a Compliance Expert to lead PEG's Compliance Monitoring Program, focusing on branch and shareholder oversight. The ideal candidate will have strong knowledge of regulatory requirements for PIMCO Europe GmbH (PEG) and its EU and UK branches, with familiarity in Real Estate and Swiss regulations as a plus. This role is vital for maintaining a top-tier Compliance program and collaborating with teams within a global asset management firm. The position is based in Munich within the EMEA Regulatory Compliance team.

Key Responsibilities

1. Compliance Program Development: Develop, promote, and implement Compliance policies, standards, and procedures to ensure PEG and EMEA staff operate in compliance with regulatory obligations.
2. Compliance Monitoring Program: Maintain a best-in-class Compliance Monitoring Program covering WpHG, WpIG, GwG, BaFin ordinances, and ESMA publications (including SFDR and other sustainability-related publications), providing advice, training, regulatory filings, and monitoring activities. Coordinate internal and external audits to ensure compliance standards are met.
3. Communication and Reporting: Exhibit exceptional communication skills and effectively manage a busy, time-sensitive environment. Report to PEG's Compliance Officer in Munich, with a pathway to becoming PEG's Deputy Compliance Officer.
4. Business Understanding: Enhance program execution by understanding PEG's business operations, particularly in Institutional and Intermediary Client Relationship Management, Marketing, Business Development, and Portfolio Management.
5. Regulatory Evolution: Evolve the EMEA Compliance program through ongoing analysis of the regulatory environment, including horizon scanning for changes and integrating industry best practices.
6. Global Team Contribution: Contribute to the global regulatory compliance team focused on EU, German, and UK regulatory frameworks, while participating in local, regional, and global project work and working groups.

Requirements

1. Experience: Minimum 4 to 6 years in compliance, legal, or audit roles within a global financial services organization, focusing on strategic advice for financial services.
2. Asset Management Knowledge: Experience as a Compliance Officer in a Financial Services Firm or KVG, with a focus on investment funds, fixed income, and equity products.
3. Financial Product Familiarity: Knowledge of various financial products, including derivatives, structured products, and alternative investments, is a plus.
4. Regulatory Knowledge: Strong understanding of UK and EU regulations relevant to PIMCO Europe GmbH (PEG) and its branches, with the ability to navigate complex regulatory environments.
5. Compliance Expertise: Proven experience in executing and enhancing risk-based, audit-ready Compliance monitoring programs.
6. Communication Skills: Exceptional ability to present complex regulatory concepts clearly to diverse audiences.
7. Client-Centric Approach: Commitment to high professional standards and client service, fostering collaborative relationships.
8. Adaptability: Flexibility in addressing complex subject matter while understanding business needs in a regulatory context.

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.