Associate, Regulatory - Legal US

Newport Beach, USA
May 13, 2023
Jun 12, 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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.

Individual will be responsible for providing legal support for Legal US Regulatory within the Legal and Compliance Department, including, but not limited to:

  • Support ongoing legal and regulatory requirements, 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
  • Support regulatory change management initiatives, specifically as it relates to new or amended regulatory rules, including, but not limited to, researching and summarizing requirements, managing implementation of targeted solutions, across various functional areas of the firm, and broadly supporting counsel and other internal stakeholders throughout the implementation
  • Coordinate responses to various information requests, including 3rd party, client, and investor requests related to various legal / regulatory topics
  • Assist with complex regulatory and compliance related research, drafting legal documents, and miscellaneous special projects, as they are assigned
  • Assist with certain legal / regulatory requests, including, but not limited to, coordinating e-Discovery collections, executing and analyzing transactional reports, conducting legal research, and coordinating document productions
  • Support counsel with certain legal corporate governance functions, including, but not limited to matters related to recordkeeping, insurance renewals, and authorized signatory requirements
  • Bachelor's Degree required
  • Minimum 3 years of law firm / in-house paralegal or regulatory compliance experience
  • Proficiency in Microsoft Suite; must be able to perform intermediate Excel functions (e.g. formulas, vlookups, etc.)
  • Financial product and/or securities law knowledge is a plus
  • High performing individual capable of managing multiple time sensitive and complex 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
  • Must possess excellent interpersonal skills, work well in a team environment, and have the ability to interact comfortably with all levels of management, as well as external contacts
  • Able to generate solutions and appropriately escalate to management
  • Must be able to maintain a high level of confidentiality and a clear commitment to PIMCO's culture, values, and approach
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: $ 86,000.00 - $ 94,000.00

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.