Associate, Regulatory

4 days left

Newport Beach, USA
May 30, 2022
Jun 29, 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
About Us:

We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset classes, strategies and vehicles: fixed income, equities, commodities, asset allocation, ETFs, hedge funds and private equity. PIMCO is one of the largest investment managers, actively managing more than $2.2 trillion in assets for clients around the world. PIMCO has over 3,070 employees in 22 offices globally. PIMCO is recognized as an innovator, industry thought leader and trusted advisor to our clients.

PIMCO is one of the world's premier fixed income investment managers with thousands of professionals around the world united in a single purpose: creating opportunities for our clients in every environment. Since 1971, we have brought innovation and expertise to our partnership with the institutions, financial advisors and millions of individual investors who entrust us with their assets. We aspire to cultivate performance and leadership through empowering our people, diversity of thought, and a commitment to an inclusive culture that engages in our global communities.

Position Description:

Individual will be responsible for providing legal support for the Legal US Regulatory within the Legal and Compliance Department, including, but not limited to:
  • Assist counsel with negotiating, drafting and reviewing client contracts
  • Liaise with and act as single point of contact for clients, internal and external counsel, Account Management and other internal groups involved in account setup and maintenance
  • Collect and analyze contract documents required to establish broker-dealer accounts
  • Perform anti-money laundering and sanctions related due diligence
  • Review and respond to Requests for Proposals
  • Ensure contracts are in compliance with company standards, legal requirements and business risk tolerance levels
  • Code account data into proprietary databases
  • Maintain existing client accounts, including contract amendments and fee schedule amendments
  • Assist with conducting legal research as assigned
  • Assist with special projects as assigned, including but not limited to, regulatory monitoring and implementation, and technology enhancements related to legal databases and programs

Position Requirements:

  • Bachelor's Degree required
  • Paralegal Certificate preferred
  • Minimum 3 years of law firm or in-house paralegal/contract specialist experience
  • Proficiency in Microsoft Word, Excel, and Outlook
  • High performing individual capable of managing multiple time sensitive tasks in a challenging, fast paced and fluid environment
  • Strong analytical skills and meticulous attention to detail
  • Able to take initiative in learning and applying new skills
  • Exceptional oral, written, and organizational skills
  • Must possess excellent interpersonal skills, work well in a team environment, and have the ability to interact comfortably with all levels of management, addressing issues in a fast paced environment
  • Clear commitment to PIMCO's culture, values, and approach


PIMCO is committed to offering a comprehensive portfolio of employee benefits designed to support the health and well-being of you and your family. Benefits vary by location but may include:
  • Medical, dental, and vision coverage
  • Life insurance and travel coverage
  • 401(k) (defined contribution) retirement savings, retirement plan, pension contribution from your first day of employment
  • Work/life programs such as flexible work arrangements, parental leave and support, employee assistance plan, commuter benefits, health club discounts, and educational/CFA certification reimbursement programs
  • Community involvement opportunities with The PIMCO Foundation in each PIMCO office

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