Vice President, Compliance Officer

PIMCO • Newport Beach, CA

2h

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 a VP, Compliance Officer to join our global Legal and Compliance team. This role will focus on enhancing and managing the investment adviser compliance program, driving program improvements, ensuring regulatory alignment, and fostering a culture of compliance across the organization.
The successful candidate will work in a team which oversees PIMCO’s U.S. investment adviser compliance program, including policy development and governance, risk assessment, testing and monitoring, conflict of interest management, and providing compliance training.
Candidates with strong investment adviser compliance backgrounds at an institutional asset management firm and who are eager to deepen their expertise will be considered.

Requirements

• Bachelor’s degree required; advanced degree or Juris Doctorate preferred.
• Proven regulatory compliance experience within a large, diverse investment management firm, with a focus on investment management or regulatory compliance.
• Deep knowledge of U.S. regulatory requirements applicable to investment managers, including the Investment Advisers Act of 1940.
• Exposure to Commodity Futures Trading Commission (CFTC) regulations and National Futures Association (NFA) rules.
• Familiarity with ERISA rules applicable to investment management, including Title I fiduciary requirements and compliance with requirements for Qualified Professional Asset Managers.
• Strong understanding of fixed income, alternatives, derivatives, commodities, and equity strategies across various investment vehicles (e.g., open-end mutual funds, closed-end funds, ETFs, separate accounts, private funds, CITs).
• Exceptional problem-solving skills with the ability to analyze complex regulatory issues and develop practical solutions.
• Excellent verbal and written communication skills, capable of articulating clear ideas and strategies to diverse audiences.
• Critical thinker and quick learner with the ability to assess situations rapidly and generate actionable insights.
• Service-oriented mindset balancing regulatory rigor with business needs.
• Highly motivated self-starter with a hands-on approach and the ability to drive change.
• Superior organizational skills with the ability to prioritize, manage multiple tasks, and meet tight deadlines.
• Adaptable and flexible, able to pivot quickly in response to evolving business demands.
• Collaborative team player and consensus builder, effective in a matrixed global organization.
• Demonstrated cultural awareness and sensitivity to work effectively in a diverse, global environment.
• Strong integrity and commitment to PIMCO’s ethical standards and values.

Responsibilities

• Lead and support the global investment adviser compliance program, including policies and procedures, training, testing and monitoring across the firm’s separate accounts, registered funds, and alternatives/private funds businesses
• Collaborating closely with Compliance teams worldwide to drive program enhancements and ensure global consistency.
• Meaningfully contribute to the adviser’s risk assessment and testing program, including developing a risk matrix, documenting testing plans, executing testing of policies, procedures and controls and identifying enhancements based on testing results.
• Draft, review, implement, and make recommendations to enhance compliance policies and procedures.
• Prepare internal and external communications related to compliance matters.
• Partner with Legal, Portfolio Management, Operations and client-facing teams to identify, assess, and address regulatory compliance matters.
• Proactively stay abreast of regulatory changes and business developments, applying new knowledge to enhance compliance frameworks.
• Identify and implement process enhancements, including technology solutions, to increase efficiency and mitigate risk.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 1,001-5,000 employees