Skip to content
CV Rocket
Get started
How it worksThe enginePricingBlogContactSign in

Open nowPosted 3 days ago

Associate, Compliance - Regulatory

PIMCO170 open roles

Where
Sydney, AUS
Get the CV for this job

From $25 per CV, paid once. No subscription.

Your applicationOpen nowAssociate, Compliance - RegulatoryPIMCO · Sydney, AUS

  1. YouYes, apply to this one.

  2. CV RocketCV written for this posting.

  3. 25 readersRecruiter, hiring manager, skeptic. Round after round.

  4. CV RocketApplied on PIMCO's own form.

The reply lands in your private mailbox

3×more interviews than doing it yourself with ChatGPT.

The clock on this job

Early applications get read.

13.1% of postings close within 7 days. Measured by our own scanner across the market. PIMCO postings stay open a median of 20 days.

Share of postings closed within
  1. 2.2%1 day
  2. 4.7%3 days
  3. 13.1%7 days
  4. 21.1%14 days
  5. 35.8%30 days
  6. 59.0%60 days
This job: posted 3 days ago

PIMCO median: 20 days open

The posting

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.

Background

PIMCO Australia has its own fund complex (11 registered funds, 8 unregistered funds and 5 ETFs) where we are both Responsible Entity as well as Investment Manager. In addition there are around 30 separate mandate clients.

This new position will be based in Sydney and will support 2 seniors (one VP and one SVP) on all regulatory compliance matters. He/she may from time to time also provide periodic regional coverage for other APAC offices.

Main Responsibilities

The primary responsibilities include managing and administering the firm’s compliance programme covering the following areas:

  • Marketing material review: Perform reviews of the marketing materials and product-related documents
  • Compliance monitoring and testing: Personal trading monitoring, e-surveillance, social media surveillance, gifts and entertainments
  • AML/KYC checks and oversight: Carry out on-boarding and ongoing AML checks, oversight of our unit registry, review transaction monitoring
  • Incident and breach management: Review, monitor and manage incidents and breaches, complaints, conflict of interest, related party transactions. Maintain various registers
  • Licensing: Manage licence applications/cessations, handling regulatory enquires/reporting requirements or ASIC and AUSTRAC
  • Governance: Prepare Compliance committee and board packs for meetings
  • Audit Coordination: Manage and support internal/external audits
  • General advisory: Advise and guide business, stay up to date on regulatory developments and assist in continued design, enhancement and implementation of an effective compliance programme
  • Training: Administering training program for compliance for new hire, all staff, Regulatory Guide 146 staff and Responsible Managers. Maintain training register
  • Client due diligence: Supporting client operational due diligence
  • ETF continuous disclosure obligations: oversee compliance of listing obligations

Qualifications

  • At least 3 years working experience in legal, compliance or audit in financial services
  • Degree qualified in either a finance/accounting/law discipline
  • Strong communication and collaboration skills
  • Self-motivated, resourceful and able to take initiative and work autonomously
  • Ability to work under pressure with good organization and time management skills

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.

From $25, paid onceGet the CV for this job

What happens when you press

One press. We do the rest.

  1. A CV for this posting

    Written against PIMCO's own wording, from every piece of relevant proof in your profile.

  2. 25 readers review it

    Recruiter, hiring manager, skeptic and more read every draft, round after round. You get the best round.

    The review screen in CV Rocket: how each CV was read, round by round.

  3. We apply on PIMCO's form

    Our application engine gets through the hardest forms there are. Where a question needs you, AI suggests the best answer. Don't want us applying from our IP addresses? Use our Chrome extension: we apply straight from your own browser.

    An application in CV Rocket: every answer filled in on the employer's form.

  4. Every reply, sorted

    PIMCO's answer lands in your private mailbox, and we classify it on arrival: interview, question, rejection.

    The CV Rocket inbox: each employer reply classified as an interview, an action or a rejection.

  5. Reply with AI

    AI helps you write the email, checks it and sends it. We show you whether the recruiter read it.

  6. The interview in your calendar

    Full integration with your calendar. The invitation goes straight in.

    An interview invitation in the CV Rocket inbox, added to the candidate's calendar.
Get the CV for this job

From $25 per CV, paid once. No subscription.

Why it works

3×

more interviews than doing it yourself with ChatGPT.

ChatGPT writes a CV and never learns what happened to it. We see every reply. For each CV we know:

  • How it was written, and how the review scored it
  • When we applied, and how long after the posting went up
  • Which posting, which company, which city
  • Who got the interview, and who heard nothing

That is how we know which CVs get called.

Get the CV for this job

From $25 per CV, paid once. No subscription.

The numbers game

More applications. More interviews.

Every application goes out with its own CV, written for that posting and paid once. Send enough of them and the law of large numbers finds you the job.

Get the CV for this job
By hand5–10
With CV Rocket100
applications a day

Nearby

Live postings like this one

Same employer first, then the same role elsewhere.

Before you press

Straight answers

Get the CV for this job

From $25 per CV, paid once. No subscription.

What if my background isn't good enough?

We make the most of the background you have. The CV uses every piece of relevant proof your profile holds, and one of the 25 readers reads your whole profile and flags what the CV left out.

Do you really apply for me?

Yes, on the employer's own form, the hardest ones included. Where a question needs you, you answer it right there and AI suggests the best answer. Don't want us applying from our IP addresses? Use our Chrome extension: we apply straight from your own browser.

Is it a subscription?

No. You pay once per CV, from $25. Every application goes out with its own CV, written for that posting.

One job. One CV.
Paid once.

Pick the posting you want. We write for it, apply for you and catch the reply.

Get the CV for this job

From $25 per CV, paid once. No subscription.