Senior Associate, Fund Regulatory and Risk Operations

About the role

The team plays an essential role in ensuring the day-to-day operational excellence of reporting to U.S. regulators, including the SEC, CFTC, NFA, and FINRA. As a Senior Associate, you will be key in contributing to PIMCO processes around existing reporting regimes, as well as through the implementation of growing regulatory reporting requirements.

Responsibilities

• Produce accurate, complete, timely reporting, 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.
• Provide oversight of managed service provider reporting; act as an escalation point for reporting exceptions and for navigating structural reporting issues.
• Coincide with internal and external teams to ensure the timely and accurate completion of regulatory reports and responding to various information requests, including 3rd party, client, and investor requests related to filings.
• Partner with technology, vendors, and across functions to continuously improve processes and seek efficiencies.
• Aid with ad hoc projects, including improvements related to fund events, dependency governance, scoping and cross-functional reporting.

Qualifications

• Minimum of a bachelor’s degree from an accredited college/university preferred in Accounting or Finance major
• 3+ years of work experience in the investment management or financial service industry, with a focus on mutual fund regulatory reporting, regulatory compliance, or accounting
• Experience with the implementation of US regulatory reporting and/or direct responsibility for operational teams supporting the day-to-day processes related to regulatory reporting
• Ability to interpret regulatory guidance and review operational output, and navigate across functions to ensure optimal output
• Ability to work independently and across various teams to review and resolve issues, problem-solve, and escalate when needed
• Strong aptitude to work with data. Analytical mindset, proficient with Excel functions/formulas, with attention to detail
• Broad understanding of registered investment companies, fund administration functions, financial products, securities law, and investment accounting
• Excellent project management skills, with experience implementing and improving processes and change management

Pay

$ 100,000.00 - $ 112,500.00