Senior Vice President, Compliance
About The Position
PIMCO is seeking a Senior Vice President to lead Compliance for distribution, broker-dealer, and capital markets activities, including oversight of the compliance program of PIMCO Investments LLC (PI), PIMCO’s broker-dealer responsible for distributing U.S. registered and private funds. The role oversees monitoring and implementation of the regulatory and compliance framework for broker-dealer, distribution, capital raising, and placement activities, with a focus on FINRA compliance, supervision, related regulatory obligations, and supporting the growth of the firm’s capital markets business. The Senior Vice President partners with attorneys, compliance professionals, and business stakeholders on compliance program design, supervisory structures, regulatory engagement, and oversight of examinations and inquiries. This is a high-impact opportunity for a commercially minded compliance leader to shape the compliance framework, advise senior stakeholders, and grow within a global investment manager.
Requirements
- Juris Doctor (J.D.) from a leading law school.
- 10+ years of relevant experience with significant focus on capital markets, 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 private funds, open-end funds, closed-end funds, ETFs, and collective investment trusts.
- Active Bar membership and expertise in the Investment Advisers Act of 1940 and 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.
Responsibilities
- Support the growth of the capital markets business and broker-dealer program.
- Lead compliance oversight of PIMCO’s U.S. broker-dealer, with primary responsibility for FINRA regulatory compliance, supervisory structures, and distribution activities.
- Serve as the 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.
- 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, intermediary-related activities, and regulatory compliance matters, including platform oversight, conflicts of interest management, and disclosure obligations.
- Identify and mitigate legal and regulatory risks and provide practical solutions.
- Conduct monitoring, testing, and surveillance of distribution activities.
- Support new product initiatives and business strategies, ensuring compliant distribution structures.
Benefits
- Base salary and discretionary bonus as part of a total compensation approach.
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
Ph.D. or professional degree
