Investment Compliance Manager

Singapore, Singapore
18 Aug 2022
17 Sep 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
About Us:

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 $2.2 trillion in assets for clients around the world. PIMCO has over 3,070 employees in 22 offices globally. PIMCO is recognized as an innovator, industry thought leader and trusted advisor to our clients.

PIMCO is one of the world's premier fixed income investment managers with thousands of professionals around the world united in a single purpose: creating opportunities for our clients in every environment. Since 1971, we have brought innovation and expertise to our partnership with the institutions, financial advisors and millions of individual investors who entrust us with their assets. We aspire to cultivate performance and leadership through empowering our people, diversity of thought, and a commitment to an inclusive culture that engages in our global communities.

Position Description:

Position Description: This is an exciting opportunity to work in a fast-paced, dynamic, and challenging workplace with highly motivated and intelligent professionals. This position serves as a member of the APAC Investment Guidelines Compliance team based in Singapore. Investment Guideline Compliance group is responsible for implementing controls & processes to ensure we are aligned with all applicable regulatory and portfolio issued guidelines, including pre and post-trade compliance, reviewing trades to ensure compliance with investment guidelines, performing regular reviews of portfolios to ensure compliance with client guidelines, internal policies and applicable regulations. The role also requires to work on Global IGC, firm wide and regional initiatives & strategic projects. Individuals in this position will have frequent interaction with a variety of groups at all levels of seniority including other teams within Legal & Compliance, Technology, Account Management, Product Strategy and the Trade Floor.

The primary responsibilities include reviewing trades to ensure compliance with investment guidelines, performing regular reviews of portfolios to ensure compliance with client guidelines, internal policies and applicable regulations.

Key Responsibilities include:
  • Review trades by the APAC trade floors to ensure compliance with investment guidelines and regulatory restrictions at time of trade.
  • Performance regular reviews of portfolios to ensure compliance client guidelines, internal policies and applicable regulations.
  • Providing support on regulatory monitoring related to equities and Quant trading for China, Korea, Taiwan & India markets.
  • Working closely with Portfolio management group, Account management and other partners to ensure compliance of investment guidelines
  • Participating in efficiency and improvement initiatives by providing ideas and suggestions on possible improvements to systems or processes
  • Providing regional coordination and support in relation to adhoc investment compliance projects in APAC Identification of investment guideline coding issues and work with Automation team to add efficiency.
  • Participating in joint initiatives between regulatory and investment compliance teams in across the region in APAC and globally
  • Assist with UAT on various initiatives regional or global
  • Participating in numerous ad hoc projects such as process developments and improvements, scenario analysis, and technology testing.
  • Coordinate communications with other compliance teams in the region as well as with the US and Europe to ensure adoption and maintenance of global standards

Position Requirements:

Position Requirements :
  • Minimum of a Bachelor's Degree (Accounting, Business, Finance or Economics preferred)
  • 10+ years of professional experience in investment guidelines compliance or the investment management industry or audit functions.
  • Working knowledge of Quant trading and cash equities including equity futures, commodity futures, especially for China, Taiwan and Korea markets.
  • Should be able to independently manage/handle market regulations, monitoring requirements and other elements related to cash equities, equity futures and commodity futures.
  • Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to face off across all levels of an organization.
  • Have an interest and good working knowledge of fixed income markets and securities, including derivatives such as futures, options, interest rate swaps and credit default swaps, and equities preferred.
  • High proficiency in compliance monitoring systems, Microsoft Excel and Bloomberg.
  • Knowledge of MAS/ CPF Regulations/ Investment guidelines
  • Capability to manage multiple tasks with tight deadlines, organize and prioritize tasks.
  • Ability to work under pressure with a fair degree of autonomy as well as in a team environment.
  • Have a strong sense of honesty and integrity
  • Japanese language skills would be beneficial
  • Quick learner and adaptable to learn new processes, concepts and skills Analytical mind and approach
  • Ability to recognize individual and team objectives and goals
  • Detail-oriented and capable of multi-tasking and prioritizing in a fast-paced environment to meet deadlines
  • Ability to work effectively and balance complexity and stress in a rapidly changing environment to meet deadlines.
  • Proactive approach to risk mitigation ability to apply good judgement as to when to raise issues.
  • Desire to take initiative and contribute to the department and the organization.
  • Maintain a professional demeanor in both routine and highly charged environments; adapt responses appropriately to each situation.


PIMCO is committed to offering a comprehensive portfolio of employee benefits designed to support the health and well-being of you and your family. Benefits vary by location but may include:
  • Medical, dental, and vision coverage
  • Life insurance and travel coverage
  • 401(k) (defined contribution) retirement savings, retirement plan, pension contribution from your first day of employment
  • Work/life programs such as flexible work arrangements, parental leave and support, employee assistance plan, commuter benefits, health club discounts, and educational/CFA certification reimbursement programs
  • Community involvement opportunities with The PIMCO Foundation in each PIMCO office

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