Head of Legal & Compliance, PIMCO Investments LLC

PIMCO•New York, NY

5d•$265,000 - $305,000

About The Position

PIMCO is seeking a Senior Vice President to lead Legal and Compliance for PIMCO Investments LLC (PI), our broker-dealer responsible for distributing U.S. registered and private funds. As Head of Legal and Compliance for PI, you will oversee the legal and regulatory framework for PI’s broker-dealer and distribution activities, with a focus on FINRA compliance, supervision, and related regulatory obligations. You will partner closely with attorneys, compliance professionals, and business stakeholders to support PI’s distribution platform, including compliance program design, supervisory structures, regulatory engagement, and oversight of examinations and inquiries. You will also lead the drafting, review, and negotiation of fund distribution and selling agreements, while advising on sales practices, disclosure, platform governance, and other broker-dealer compliance matters. This is a high-impact opportunity for a commercially minded legal or compliance leader to shape PI’s compliance framework, advise senior stakeholders, and grow within a global investment manager committed to excellence.

Requirements

Juris Doctor (J.D.) from a leading law school.
7+ years of relevant experience with significant focus on broker-dealer regulation, FINRA compliance, and fund distribution activities.
Deep expertise in FINRA rules, broker-dealer compliance frameworks, and distribution-related regulatory requirements.
Strong knowledge of open-end funds, closed-end funds, ETFs, and collective investment trusts.
Active Bar membership and expertise in the Investment Company Act of 1940.
Strong knowledge of the Securities Exchange Act of 1934.
Strong analytical, communication, and stakeholder management skills.

Nice To Haves

Experience interacting with FINRA examinations or regulatory inquiries preferred.

Responsibilities

Lead legal and compliance oversight of PIMCO’s U.S. broker-dealer, with primary responsibility for FINRA regulatory compliance, supervisory structures, and distribution activities.
Serve as primary FINRA interface, managing regulatory examinations, inquiries, filings, and ongoing engagement.
Develop, implement, and maintain compliance programs, including written supervisory procedures (WSPs), compliance policies, and testing frameworks tailored to distribution and broker-dealer operations.
Draft, review, and negotiate agreements related to fund distribution, selling agreements, platform relationships, and intermediary compliance obligations.
Advise on FINRA rules and broker-dealer requirements, including communications with the public, sales practices, Reg BI, supervision, and recordkeeping.
Advise internal stakeholders on distribution, broker-dealer, and regulatory compliance matters, including platform oversight, conflicts of interest, and disclosure obligations.
Identify and mitigate legal and regulatory risks and provide practical solutions.
Partner with Compliance to conduct monitoring, testing, and surveillance of distribution activities.
Support new product initiatives and business strategies, ensuring compliant distribution structures.