VP, Regulatory Compliance

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.

We are looking to hire a VP, Compliance – Regulatory. This position is to support the Chief Compliance Officer, Southeast Asia with all aspects of general business and regulatory compliance matters for the Singapore office. This position will be based in Singapore.

KEY RESPONSIBILITIES:

• Compliance Policies and Training
• Develop and update Compliance policies in response to business changes, industry developments and/or regulatory changes.
• Review existing Compliance policies on periodic basis.
• Conduct Compliance training to employees to educate them on Compliance policies. This includes regular new hire training, periodic refresher training as well as customized, bespoke training as required.
• Regulatory and Licensing
• Ensure new/revised regulatory guidelines, consultation papers and other regulatory related matters are reported, reviewed and the relevant policies and guidelines are developed or updated timely.
• Manage license applications/cessations and related licensing reporting requirements.
• Marketing/Distribution Compliance
• Carry out review of all marketing materials/RFPs/RFIs/website to ensure adherence with relevant regulatory requirements.
• Provide advisory on cross border activities to the business for South Asia countries, including but not limited to Thailand, Malaysia, Philippines, Brunei etc.
• Compliance Monitoring and Testing
• Conduct Compliance monitoring and testing against company’s policies and procedures.
• This includes but is not limited to Code of Ethics monitoring, e-surveillance, gifts and entertainment, social media surveillance etc.
• Anti-Money Laundering & Sanctions
• Carry out on-boarding of new separate account mandates and conduct related sanctions screening. Also, perform periodic refresh and ongoing sanctions screening.
• Conduct intermediary due diligence of new intermediaries at on-boarding as well as periodic refresh on existing intermediaries.
• Conduct annual AML risk assessment in accordance with group policy and local regulatory requirements.
• Trade Floor Related Interaction
• Provide Compliance advisory on trade floor related inquiries.
• Work together with trade floor and relevant business management functions on new market entry and new securities initiatives, highlighting and addressing specific compliance and regulatory requirements/concerns.
• Work on trade error resolution with the trade floor personnel.
• Working with the Business
• Work together with relevant functions on new business initiatives and projects, highlighting and addressing specific compliance and regulatory concerns.
• Participate in client due diligence where necessary, representing Compliance function.
• Audit Coordination
• Support internal/external audit coordination and regulatory reviews.
• Management Reporting
• Support compliance reporting to Global Compliance and senior management etc.

Position Requirements

• At least 8 years regulatory Compliance experience, preferably in in asset management firms.
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