Job Description: 

Voted a Top San Diego Workplace for three consecutive years (2016-2018) as well as a "Best Place to Work For Financial Advisors 2018" by Investment News, Gurtin Municipal Bond Management is seeking a Senior Compliance Officer in our Solana Beach office. This is an exciting time to join the Gurtin team given our recent partnership with PIMCO, one of the premiere fixed income managers in the country with 14 offices worldwide and $1.7 trillion AUM.  We have joined forces to become the leader in the municipal asset class with combined municipal assets of $38B as of December 31st, 2018. 

As part of the firm’s Risk, Compliance and Legal team the Senior Compliance Officer is tasked with assisting in the facilitating and implementing the Firm’s compliance policies and procedures in keeping with regulatory requirements.  The Senior Compliance Officer must stay current with SEC’s regulatory environment and requirements. They must also demonstrate critical thinking skills, sound decision-making, work independently, and the ability to collaborate and engage with employees of all levels, including partners and regulators. 

Principal Duties and Essential Functions:
  • Assist in reviewing and ensuring that applicable policies and procedures are comprehensive, reflect the firm’s business policies and processes, and are being complied with by firm personnel
  • Assist with maintenance of the Compliance Manual, Code of Ethics, and consistent monitoring of compliance risks and requirements
  • Support regulatory registration, reporting, and filings
  • Facilitate compliance program monitoring and various testing of firm compliance policies
  • Review and facilitate updates to Firm’s marketing materials and presentations ensuring compliance with SEC and FINRA regulations
  • Provide guidance and oversight for junior members of the team
  • Communicate with employees of all levels, regulators, and consultants to ensure firm is in compliance with applicable policies and regulations
  • Oversee internal training of new and existing employees firm wide on both general compliance principles and various appropriate “hot topics” as arise
  • Work to implement Firm’s anti-money laundering program
  • Provide support for key compliance project initiatives as they arise
  • Other duties as assigned

Requirements/Qualifications:
  • B.A. in Business preferred
  • Five or more years of financial service firm experience in a compliance or investment adviser related position
  • Demonstrated understanding of SEC and regulatory environment
  • Experience with marketing and advertising review at a registered investment advisor
  • Proven ability to manage multiple projects simultaneously
  • High degree of accuracy, detail orientation and strong problem-solving skills
  • Ability and experience working with minimal supervision
  • Strong interpersonal skills in a team environment and ability to communicate across departments
  • Highly organized multi-tasker comfortable with meeting recurring deadlines and directing team workflows
  • High level of professionalism and exceptional written and verbal communication skills
  • Ability to effectively communicate across departments
Physical Requirements:
  • This job requires employee to sit for approximately 6-7 hours a day and use a keyboard and mouse for repetitive motion. 
  • There will be <15 lbs. to lift, push, or pull on this job.

Company Description: 
Gurtin Municipal Bond Management, a PIMCO company, is an investment management firm founded on a simple premise: Do what you do best, and never settle. Serving high and ultra-high net-worth individuals, we provide focused expertise in managing investment-grade municipal portfolios that generate tax-free income. As of December 31, 2018, combined municipal assets under management across Gurtin and PIMCO totaled $38 billion.
Recognized as a “Top Workplace” for the past three years in a row by the San Diego Union-Tribune, we offer a unique culture that combines the casual and collaborative work environment of the West Coast with the intensity, sophistication, and professionalism of Wall Street, and are always looking to invest in talented individuals who will excel at Gurtin. (Learn more about the Top Workplace award and selection methodology.)




























 

Department: Compliance & Legal
This is a management position
This is a full time position

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