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Senior Associate, Legal – PIMCO Newport Beach: Manage U.S. regulatory filings, client contracts, and compliance projects.
Collaborate across legal, compliance, and risk teams, applying AI and automation to streamline processes.
Overview
The successful individual will provide legal and regulatory support to the Legal US Regulatory team within the Legal and Compliance Department. This role supports U.S. regulatory legal matters, SEC-related obligations, client contracting activities, regulatory change initiatives, corporate governance matters, and strategic projects supporting PIMCO's global asset management business.
Responsibilities
Collaborate with the Legal managed service team responsible for supporting the end-to-end legal workflow of institutional client contracts, serving as a subject matter expert and escalation point for complex issues. Review, analyze, negotiate, and manage institutional client agreements and related legal documentation while providing oversight, training, and project support.
Support legal and regulatory matters relating to U.S. investment adviser and asset management regulations across various regulators and self-regulatory organizations (e.g., SEC, CFTC, NFA, FINRA), including inquiries, examinations, ongoing regulatory obligations, and emerging regulatory requirements.
Prepare, review, coordinate, and file U.S. regulatory filings and other regulatory submissions while ensuring accuracy, completeness, and timely delivery.
Assist counsel with gathering, organizing, and analyzing source materials, transaction activity, and regulatory reporting data to support factual record development, internal reviews, document productions, and related regulatory response preparation.
Support regulatory change management initiatives by researching regulatory developments, summarizing requirements, coordinating stakeholder engagement, and assisting with implementation across business functions.
Coordinate responses to client, consultant, investor, and regulatory due diligence requests relating to legal, regulatory, and governance matters.
Partner closely with Compliance, Risk, Operations, Product Strategy, Client Management, and other business stakeholders to support legal and regulatory workstreams and help coordinate practical solutions.
Support corporate governance activities, including recordkeeping, insurance renewals, authorized signatory processes, and related governance requirements.
Identify opportunities to improve legal workflows through automation, AI-enabled tools, process optimization, and enhanced data management practices.
Requirements
Bachelor’s Degree required, Juris Doctor (J.D.) strongly preferred.
Minimum 3-5 years of experience within a law firm, asset manager, investment adviser, financial institution, regulatory agency, or in-house legal and/or compliance function.
Experience supporting client contracting processes, regulatory filings, examinations, and/or regulatory change management initiatives within a regulated financial services environment required.
Proficiency in Microsoft Suite; must be able to perform intermediate Excel functions (e.g. formulas, vlookups, etc.)
Working knowledge of U.S. securities laws and regulations applicable to investment advisers and asset managers, including the Investment Advisers Act of 1940 and related SEC regulatory frameworks.
Demonstrated ability to manage multiple projects, prioritize competing demands, and independently drive initiatives to completion.
High performing individual capable of managing multiple time sensitive and complex tasks in a challenging, fast-paced, and fluid environment.
Able to learn and apply emerging technologies, including AI-assisted tools, data analysis, and automation, to create efficiencies and streamline processes where appropriate.
Strong analytical skills and meticulous attention to detail.
Able to take initiative in learning and applying new skills.
Must possess excellent interpersonal skills, work well in a team environment, and have the ability to interact comfortably with all levels of management, as well as external contacts.
Able to generate solutions and appropriately escape to management.
Must be able to maintain a high level of confidentiality and a clear commitment to PIMCO’s culture, values, and approach.
Salary Range
Salary Range: $ 100,000.00 - $ 112,500.00
Equal Employment Opportunity and Aff
PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws.
Applicants with Disabilities
PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.