Head of Legal & Compliance, PIMCO Investments

PIMCO • New York, NY

17d

About The Position

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients’ capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world’s largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns.
Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients.
Position Overview
PIMCO is seeking an exceptional, forwardthinking Senior Vice President to lead Legal and Compliance for our limitedpurpose brokerdealer, PIMCO Investments LLC (“PI”). PI drives the distribution of our U.S. registered and private funds, and this role sits at the center of that engine. As the Head of Legal and Compliance, you will join a highly collaborative, highperforming team and become a key partner in shaping the firm’s distribution platform. In this position, you’ll work closely with attorneys and compliance professionals to deliver sophisticated, endtoend legal and regulatory support. You will partner with PI’s Chief Compliance Officer in engaging with FINRA and related regulatory matters and will take the lead in drafting, reviewing, and negotiating a broad array of fundrelated agreements—from intermediary and fund participation agreements to ETF authorized participant arrangements and contracts with essential service providers.
As a trusted strategic advisor across the firm—including Operations, Compliance, Global Wealth Management, Account Management, and Product Strategy—you will guide stakeholders through complex regulatory, structural, and operational issues. You will also help prepare key materials for Board meetings and play a meaningful role in advancing firmwide legal and regulatory initiatives with rigor and sound judgment.
This is a standout opportunity for a proactive, commercially minded attorney to take ownership, influence senior decisionmakers, and grow within a global investment manager committed to excellence.

Requirements

• Juris Doctor (J.D.) from a leading law school with strong academic performance.
• Approximately 7+ years of relevant experience supporting U.S. distribution of public and private funds—ideally at a toptier law firm or inhouse at an asset manager.
• Strong technical knowledge of openend funds, closedend funds, ETFs, and collective investment trusts.
• Active Bar membership in any U.S. state and solid expertise in securities laws governing registered funds, including the Investment Company Act of 1940 and related SEC filing requirements.
• Working familiarity with the Investment Advisers Act of 1940, the Securities Act of 1933, and ERISA is beneficial.
• Analytical and solutionsoriented mindset, with the ability to interpret complex issues and develop commercially practical guidance.
• High integrity and sound judgment, demonstrated through reliable, collaborative partnerships.
• Selfstarter with strong ownership, comfortable navigating a fastpaced environment and managing competing priorities.
• Exceptional written and verbal communication skills, including the ability to simplify complex concepts and influence senior stakeholders.
• Organized and teamoriented, with the ability to work effectively with colleagues across levels and functions.

Responsibilities

• Provide legal and compliance support for PIMCO’s U.S. broker dealer, ensuring adherence to relevant regulatory requirements.
• Draft, review, and negotiate a wide range of agreements related to fund distribution, service providers, platform relationships, and operations.
• Advise internal stakeholders on complex legal, regulatory, structural, and operational considerations affecting fund operations, disclosure, and compliance.
• Identify and mitigate legal and regulatory risks, escalating issues when needed and offering thoughtful, practical solutions.
• Partner crossfunctionally with investment, product, operations, and distribution teams to support new product initiatives and evolving business strategies.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Ph.D. or professional degree