Compliance Officer, Compliance – Distribution

PIMCO•Newport Beach, CA

7d•$108,000 - $135,000

About The Position

PIMCO is seeking a Compliance Officer to join its Legal & Compliance Department to support the broker-dealer compliance program of PIMCO Investments LLC ("PI"), a FINRA-registered broker-dealer and member firm. This role offers an experienced compliance professional the opportunity to take ownership of the firm's Licensing & Registration function while gaining broader exposure to broker-dealer compliance, conflicts management, surveillance activities, regulatory matters, and strategic compliance initiatives. The successful candidate will collaborate closely with Compliance, Legal, HR, Marketing, and business stakeholders across the organization.

Requirements

Bachelor's degree required; J.D. preferred.
Minimum 5 years of compliance experience within a FINRA-registered broker-dealer, investment management firm, or similar regulated financial services environment.
Direct experience supporting licensing and registration functions.
Strong knowledge of FINRA rules relating to registration, supervision, outside business activities, and conflicts of interest.
Experience with FINRA Gateway and related registration systems; familiarity with NFA registration requirements is a plus.
Excellent analytical, organizational, and problem-solving skills with exceptional attention to detail.
Strong written and verbal communication skills and the ability to build effective relationships across all levels of the organization.
Ability to manage competing priorities and thrive in a fast-paced environment.
Candidates must hold, or be willing to obtain within a reasonable period following hire, the FINRA Series 7 and Series 24 registrations.

Nice To Haves

Asset management experience supporting institutional and intermediary distribution businesses.
Experience supporting registered funds, ETFs, separate accounts, and private fund products.
Experience with surveillance platforms, compliance technology, and workflow automation tools.
Experience supporting regulatory examinations, audits, and compliance reviews.

Responsibilities

Serve as the primary subject matter expert for Licensing & Registration, overseeing Form U4 and U5 filings, registration maintenance, and related regulatory requirements.
Manage onboarding, transfers, and offboarding processes for registered representatives, partnering closely with HR and business stakeholders.
Administer Outside Business Activity (OBA) disclosures and other registration-related compliance obligations.
Oversee the firm's NFA registration program and recurring licensing, registration, and regulatory filing requirements.
Support the firm's broker-dealer compliance program and promote adherence to applicable FINRA and regulatory requirements.
Administer conflicts of interest controls, including Gifts & Entertainment monitoring and event-related compliance reviews.
Support electronic surveillance and supervisory monitoring activities, including review and escalation of potential compliance issues.
Assist in responding to regulatory examinations, audits, annual reviews, and regulatory inquiries.
Partner with Compliance colleagues globally to strengthen policies, procedures, controls, and operational effectiveness.
Leverage technology, workflow automation, data analytics, and AI-enabled tools to enhance compliance monitoring and reporting processes.
Lead or support strategic compliance initiatives and process improvement projects across the broker-dealer compliance program.
Maintain expertise in assigned subject matter areas and proactively identify emerging regulatory developments, risks, and improvement opportunities.