Regulatory Attorney

Newport Beach, USA
Mar 02, 2023
Apr 01, 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
PIMCO is a global leader in active fixed income. With our launch in 1971 in Newport Beach, California, PIMCO introduced investors to a total return approach to fixed income investing. In the 50+ years since, we have worked relentlessly to help millions of investors pursue their objectives - regardless of shifting marketing conditions. As active investors, our goal is not just to find opportunities, but to create them. To this end, we remain firmly committed to the pursuit of our mission: delivering superior investment returns, solutions, and service to our clients.

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 attorney will work as an integral member of a team of U.S. registered fund and regulatory attorneys to advise and provide counsel with respect to the firm's trading activities for U.S. open-end funds, closed-end funds, exchange-traded funds, collective investment trusts and retail wrap business. The attorney will provide regulatory guidance regarding the provisions of the federal securities laws and other regulations applicable to investment advisers.

Key Relationships:
  • Portfolio Management
  • Legal and Compliance
  • Legal counsel/law firms
  • Product Strategy Group
Position Requirements
  • 3+ years of relevant experience in the financial services industry, including, for example, experience at a regulator with responsibility for market regulation, e.g., the SEC, CFTC, FINRA, or NFA; or experience at the securities law practice of a leading law firm
  • Demonstrated knowledge of securities laws applicable to registered investment companies, including the Investment Company Act of 1940, and experience with SEC filings for registered investment companies required
  • Experience with registered funds, wrap accounts and/or CITs
  • Industry experience including in-house experience within the asset management industry is a plus
  • Leadership skills needed to achieve the best results working with a high caliber group of individuals
  • Well organized, high energy level/self-starter, must work well in a team environment, especially with other senior level employees
  • Excellent communication skills needed to work within the firm's demanding and highly focused environment, as well as with clients, outside counsel, and regulators
  • Solutions-driven approach to complex legal and regulatory issues
  • Clear commitment to PIMCO's culture, values and approach
Personal Characteristics
  • Intelligent, bright, conceptual thinker and a quick learner with the ability to quickly assess a situation and provide practical, well informed legal guidance, sometimes within tight time constraints
  • Outstanding reputation of professional integrity and the ability to be immediately, personally credible within the organization and in the investment and client communities
  • An independent entrepreneurial self-starter
  • Excellent communication and presentation skills - able to articulate clear ideas/strategies both orally and in writing
  • Mature and self-confident
  • Consensus builder and team player with the ability to work well within a matrix organization
  • Cultural skills and sensitivities necessary to work effectively in global organizations
  • Outstanding client service skills
PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance.

Salary Range: $ 150,000.00 - $ 225,000.00

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.