DirectJobHub
Jobs · Legal · New York

Head of Legal & Compliance, PIMCO Investments LLC

PIMCO · New York, NY · 1 mo ago
Legal$265k–$305k/yrFull-time

Position Overview

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. The role involves overseeing the legal and regulatory framework for PI's broker-dealer and distribution activities, with a focus on FINRA compliance, supervision, and related regulatory obligations.

Key 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.

  • Advises 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.

Qualifications & Professional Skills

  • 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.

  • Experience interacting with FINRA examinations or regulatory inquiries preferred.

  • Strong analytical, communication, and stakeholder management skills.

Pay

Salary Range: $ 265,000.00 - $ 305,000.00

Equal Employment Opportunity and Affirmative Action Statement

PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws.

Applicant Accommodations

PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.

Similar jobs