Associate, Compliance - Regulatory

About the role

PIMCO Australia manages its own fund complex (11 registered funds, 8 unregistered funds and 5 ETFs) and serves about 30 mandate clients. This new position is based in Sydney and supports two senior colleagues (a VP and an SVP) on all regulatory compliance matters, with occasional periodic regional coverage for other APAC offices.

Key responsibilities

• Manage and administer the firm's compliance programme
• Review marketing materials and product-related documents
• Monitor and test personal trading, e-surveillance, social media surveillance, gifts and entertainment
• Carry out on-boarding and ongoing AML checks, oversee the unit registry and review transaction monitoring
• Review, monitor and manage incidents, breaches, complaints, conflicts of interest and related-party transactions, and maintain various registers
• Manage licence applications and cessations, handle regulatory enquiries and reporting requirements with ASIC and AUSTRAC
• Prepare compliance committee and board packs, and support internal and external audits
• Advise the business on regulatory developments and help design and improve the compliance programme
• Administer compliance training for new hires, all staff, Regulatory Guide 146 staff and Responsible Managers, and maintain the training register
• Support client operational due diligence and oversee compliance with listing obligations

Required profile

• At least 3 years of experience in legal, compliance or audit within financial services
• Degree in finance, accounting or law
• Strong communication and collaboration skills
• Self-motivated, able to take initiative and work autonomously
• Able to work under pressure with good organisation and time management