VP, Compliance - Regulatory

About the role

PIMCO, a global leader in active fixed income investing, is looking for a VP, Compliance - Regulatory to support general business and regulatory compliance matters for Hong Kong and provide periodic regional coverage for other North Asia offices. The position is based in Hong Kong.

Key responsibilities

• Manage and administer the firm's compliance programme, including monitoring, vendor and distributor onboarding and regular review, KYC/AML, trade surveillance, staff trading, marketing materials review, SFC-authorised fund authorisation, licence maintenance, compliance training, internal and external audits, regulatory enquiries, policy review and inspections.
• Provide regional coordination for ad hoc compliance projects in North Asia and take part in joint initiatives between regulatory and investment compliance teams in APAC.
• Support regulatory requirements including policy review, regulation implementation, licensing, reporting and conduct requirements.
• Monitor trading activity on the trade floor, addressing concerns about market misconduct, insider dealing and conflicts.
• Review marketing materials, product documents and client correspondence; conduct compliance monitoring and testing against local regulations, industry best practice and company policies.
• Perform AML and sanctions checks, manage audits and regulatory reviews, and handle regulatory interactions with proper documentation, notifications and filings.
• Administer the compliance programme for SFC-authorised funds and advise the business on policy revisions and regulatory developments.

Required profile

• 10 to 15 years of experience in compliance and/or audit in financial services, mainly in asset management.
• Degree in finance, accounting or law.
• Bilingual English and Chinese (spoken and written preferred).
• Strong communication skills, confident, self-motivated and able to work autonomously under pressure with good organisation and time management.