Legal and Compliance Officer - Latin America & The Caribbean


Legal and Compliance Officer – Latin America & The Caribbean
Job ID #: 16436 Location: Rio De Janeiro
Functional Area: Compliance Department: L&C-Compliance-Regulatory
Position Type: Full Time Education Required: Juris Doctor
Experience Required: See below

Relocation Provided:

Position Description

Company Overview

We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset classes, strategies and vehicles: fixed income, equities, commodities, asset allocation, ETFs, hedge funds and private equity. PIMCO is one of the largest investment managers, actively managing more than $1.51 trillion in assets for clients around the world. PIMCO has over 2,150 employees in 12 offices globally. PIMCO is recognized as an innovator, industry thought leader and trusted advisor to our clients.

Position Description

PIMCO has an opening for a Legal and Compliance Officer in our Rio de Janeiro office. This is an important position within PIMCO’s Latin America & The Caribbean business. The Legal and Compliance Officer is responsible for overseeing compliance with applicable regulations. As a member of PIMCO’s global legal and compliance team, the Legal and Compliance Officer also acts as an important interface between PIMCO’s global legal and compliance team and PIMCO’s Latin America & The Caribbean business units.

Key responsibilities will include the following:

  • Serving as the designated Risk Management and Compliance professional required by ICVM 558.
  • Administering the compliance program for PIMCO Latin America & The Caribbean, which includes overseeing certain services
  • Maintaining compliance policies and procedures and monitoring compliance with these policies and procedures
  • Providing all required staff training and compliance testing and reporting
  • Reviewing marketing materials and website content for compliance with legislation and compliance policies and procedures
  • Overseeing anti-money laundering, privacy and short term trading processes and controls
  • Coordinating with PIMCO’s Latin America & The Caribbean’s business and PIMCO’s global legal and compliance team
  • Managing relationships with external professional advisors (legal and accounting)
  • Keeping abreast of regulatory developments and potential compliance impacts
  • Producing the semi-annual Risk and Compliance report
  • Ensuring the completion of required regulatory filings in applicable jurisdictions, including, but not limited to, Brazil and Colombia.
  • Conducting periodic due diligence on service providers

Position Requirements

The ideal candidate should have the following qualifications:

  • At least 10 years of compliance/legal/risk/audit experience with a global financial services organization
  • Post-secondary education.   Juris Doctor degree (JD) or equivalent and experience as a lawyer required.
  • Previous compliance experience for an investment fund manager highly desired.
  • Experience working with regulators and acting as a key point of contact
  • Strong written and oral communication skills
  • Ability to work effectively in a fast paced environment
  • Highly flexible, multi-task oriented: capable of rapidly changing directions based on business demands
  • Team-oriented: ability to apply analytical and decision-making skills in a collaborative environment
  • Ability to effectively work with all levels of management and other compliance functional areas to meet objectives
  • ervice oriented: ability to balance regulatory and policy standards along with a business perspective
  • Exceptional organizational skills: ability to effectively prioritize tasks, produce consistently accurate work and meet strict deadlines
  • Fluent in both Portuguese and Spanish

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Confirmed 17 hours ago. Posted 30+ days ago.

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