Legal Staff Paralegal in New York City, NY
PIMCO. (Pacific Investment Management Company) | New York City, NY, United States
Industry: Legal | Type: Full-Time
Posted Date: Mar 16, 2023
Experience: 3 Years
Qualifications: The candidate should have 3 years of professional experience, such as regulatory compliance, paralegal or audit experience with a large and diverse investment management firm or sales administrator, branch office manager or asset management operations. An undergraduate degree is required. Must possess a four-year college degree. Series 7, 63 and 24 registrations preferred or must be willing to obtain within 180 days. General knowledge of regulatory requirements applicable to US broker-dealers or able to quickly learn and apply. Knowledge of fixed income, alternatives, derivatives, commodities and equity strategies a plus. Knowledge of mutual fund and private fund distribution and sales practices a plus. Excellent problem-solving and project management skills with a high attention to detail. Excellent communication and presentation skills; the ability to articulate clear ideas/strategies, both verbally and in writing, internally and externally. Bright, critical thinker, solutions-oriented and a quick learner with the ability to quickly assess a situation and generate new creative insights and usable ideas. Service-oriented; the ability to balance regulatory and policy standards along with a business perspective. A highly motivated, self-starter with the willingness to roll up your sleeves and the ability to drive change. Exceptional organizational skills; the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlines. Highly flexible and adaptable, possess sound judgment, multi-task oriented: capable of rapidly changing directions based on business demands. Consensus builder and team player with the ability to work well within a matrixed organization. A keen desire for process improvement. Demonstrated self-awareness, cultural skills, and sensitivities to work effectively in a global organization. Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of PIMCO. Strong working knowledge of MS Office suite including Word and Excel and able to pick up others systems easily (contact management, workflow and expense management systems); knowledge of other systems/tools to aid in project management and database building; strong data analysis and data presentation skills.
GWM Risk Associate
The candidate will provide support to the Head of GWM Business Risk and Partner Policy to establish a first line of defense risk management and governance program to ensure the business operates in an effective and compliant manner while delivering on its strategic goals. Review sales practices against applicable compliance standards and identify risks and help develop risk-based infrastructure/processes for GWM businesses, including monitoring of controls. Assess existing infrastructure and through automation build enhancements/tools for greater efficiency and effectiveness for GWM management and businesses to perform their day to day activities. Gain strong understanding of key sales activities and applicable compliance standards for areas such as non-cash compensation, use of electronic communications and marketing, social and digital communications. Proactively assess impact and risks related to business and regulatory/compliance changes. Assist with drafting business procedures, guidelines and other communications; help develop effective training to reinforce policies, procedures, controls, ethical practices across GWM businesses and mitigate risks. Must take initiative in learning and applying new skills, understanding the business model and activities, partner firm requirements, applicable policies and regulations that govern the GWM businesses. Prepare quarterly reporting for various senior management groups across GWM that address risk, efficiency, gaps, trends and key activity reporting (areas include: coding and limits for expenses, email review, registrations, partner firm requirements, management of business resource documents, training of sales personnel). Develop deep understanding of third-party partner firm and client standards to build efficient and effective processes and controls to ensure the business meets client requirements. Advocate for business objectives and needs while understanding the regulatory and risk concerns. Assist with any audits, compliance inquiries or corporate issues relating to US GWM Sales. Review and provide timely, accurate and thoughtful guidance to businesses when questions are raised. Help to facilitate new product launches in partnership with firm stakeholders.
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