Compliance Officer, Compliance – Distribution

PIMCO • Austin, TX

3d • $108,000 - $135,000 • Hybrid

About The Position

PIMCO is seeking a dynamic individual to serve as a Compliance Officer within PIMCO’s Legal and Compliance Department. This role will support the broker-dealer compliance program of PIMCO Investments LLC ("PI"), a FINRA-registered broker-dealer and member firm. The Compliance Officer will serve as the primary subject matter expert for the Licensing & Registration function and will support a broader set of broker-dealer compliance responsibilities, including conflicts of interest oversight, e-surveillance monitoring, and event-related compliance reviews. This position may be based in either Newport Beach, CA or Austin, TX. This role requires a professional, self-motivated individual with strong diplomatic and analytical skills who can flourish in a challenging, fast-paced, and dynamic environment with shifting priorities driven by business needs.

Requirements

• Minimum 3 years of regulatory compliance experience within a FINRA-registered broker-dealer or large investment management firm, with direct experience in licensing and registration functions.
• An undergraduate degree is required.
• Candidates must hold or be prepared to obtain within a reasonable period following hire, the FINRA Series 7 (General Securities Representative) and Series 24 (General Securities Principal) registrations.
• Demonstrated knowledge of FINRA Rules and regulations applicable to broker-dealers, including rules governing registration, supervision, cash and non-cash compensation, G&E, and outside business activities.
• Familiarity with FINRA and NFA registration requirements, including applicable rules and regulations.
• Excellent problem-solving skills with a high degree of attention to detail, recognizing that accuracy is essential given the regulatory and compliance-critical nature of the role.
• Strong written and verbal communication skills; ability to articulate compliance requirements clearly to both technical and non-technical audiences.
• Service-oriented with the ability to balance regulatory and policy standards alongside business needs.
• Highly motivated self-starter with strong organizational skills and the ability to manage competing priorities and meet strict deadlines in a fast-paced environment.
• Experience with FINRA registration systems, including FINRA Gateway, and related compliance platforms; familiarity with NFA’s Online Registration System (ORS) is a plus.
• Collaborative team player with the ability to work effectively across functions, global teams, and all levels of the organization, including the firm’s senior leadership.
• Demonstrated understanding of AI platforms and the Microsoft Office Suite, including Word and Excel; experience with compliance vendor platforms preferred.

Nice To Haves

• A Juris Doctorate (J.D.) is preferred.
• Background in fixed income, alternatives, or multi-asset strategies offered across registered funds, ETFs, separate accounts, and private funds.

Responsibilities

• Serve as the primary point of contact for all Form U4 and Form U5 filings, including initial registrations, amendments, and termination processing through FINRA's Gateway system, ensuring accuracy and timeliness in all submissions.
• Oversee onboarding and offboarding workflows for registered representatives ("RRs"), including coordination with HR on new hires, transfers, and terminations; manage all related documentation and tracking in firm systems.
• Monitor and administer outside business activity ("OBA") disclosures that are reportable on Form U4, reviewing approvals and coordinating amendments as needed.
• Maintain and update RR records, org charts, and registration populations on a regular basis.
• Oversee the firm's NFA registration program, including new applications, amendments, and coordination of required training and fingerprinting obligations.
• Manage recurring licensing and registration obligations, including qualification exam administration, state registration reviews, annual FINRA Gross Assessment breakouts, Fidelity Bond renewals, Tennessee privilege tax filings, Illinois Designated Principal renewals, and FINRA Contact Renewal and Entitlement User Account certifications.
• Support the firm's conflicts of interest compliance programs, with a focus on monitoring and administering Gifts & Entertainment ("G&E").
• Collaborate with business partners, marketing, and events teams to evaluate event-related expenses and provide guidance on applicable compliance requirements and pre-approval processes.
• Support the firm's e-surveillance program for supervision purposes, including maintaining monitoring populations within the firms e-surveillance system.
• Perform ongoing supervision of electronic communications, identifying potential exceptions and escalating issues as appropriate.
• Support the development and continuous improvement of the broker-dealer compliance program, working closely with members of the Compliance Department globally to drive consistency and operational efficiency.
• Leverage compliance technology and collaborate across departments to identify, implement, and enhance compliance processes, including workflows supporting pre-approval requirements, surveillance, and reporting, and to strengthen the firm’s overall compliance programs.
• Proactively respond to regulatory changes, business developments, and information requests arising from regulatory examinations, internal audits, and compliance program annual reviews, including coordinating internally to gather, review, and deliver accurate and timely responses.
• Manage projects to enhance broker-dealer compliance processes, including overseeing related technology resources, driving timelines, coordinating cross-functional stakeholders and vendors, and managing communications to ensure successful delivery of compliance initiatives.
• Demonstrate ownership of assigned functions by proactively developing and maintaining a strong understanding of designated subject-matter areas, applying new skillsets as needed, and identifying required activities or obligations to effectively manage those responsibilities.
• Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of PIMCO.

Benefits

• Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors.
• The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level