PIMCO
PIMCO
PIMCO एक वैश्विक निवेश प्रबंधन कंपनी है, जो संस्थागत और व्यक्तिगत निवेशकों को सार्वजनिक और निजी बाजारों में विभिन्न रणनीतियों के साथ सेवाएँ प्रदान करती है। 1971 में स्थापित यह कंपनी सक्रिय निश्चित-आय प्रबंधन, बॉन्ड निवेश और बहु-परिसंपत्ति पोर्टफोलियो निर्माण के लिए जानी जाती है। इसका कार्य आर्थिक शोध, बाजार विश्लेषण, निवेश संबंधी टिप्पणी और सक्रिय पोर्टफोलियो प्रबंधन को मिलाकर ग्राहकों को बदलती बाजार स्थितियों का आकलन करने और अपने वित्तीय उद्देश्यों को आगे बढ़ाने में सहायता करता है।

Head of Distribution and Capital Markets Compliance

Lead compliance for PIMCO’s U.S. broker-dealer, distribution, and capital markets operations. Oversee FINRA compliance, regulatory relationships, supervisory frameworks, and risk controls.

विवरण

  • Help expand the capital markets business and broker-dealer program
  • Direct compliance oversight for PIMCO’s U.S. broker-dealer, including FINRA obligations, supervisory systems, and distribution activities
  • Act as PIMCO’s main FINRA contact for examinations, inquiries, filings, and continuing regulatory discussions
  • Create, operate, and update compliance programs, written supervisory procedures, policies, and testing frameworks for broker-dealer and distribution operations
  • Provide guidance on FINRA and broker-dealer obligations covering public communications, sales practices, Regulation Best Interest, supervision, and recordkeeping
  • Counsel internal teams on distribution, broker-dealer, intermediary, and regulatory matters, including platform oversight, conflicts management, and disclosures
  • Assess legal and regulatory exposure, then develop practical mitigation measures
  • Monitor, test, and surveil distribution activities
  • Contribute to new products and business initiatives by structuring compliant distribution approaches
  • Work with legal, compliance, and business teams to design programs and supervisory structures, engage regulators, and oversee examinations and inquiries

आवश्यकताएँ

  • Juris Doctor degree from a leading law school
  • At least 10 years of relevant experience, with substantial work in capital markets, broker-dealer regulation, FINRA compliance, and fund distribution
  • Advanced knowledge of FINRA rules, broker-dealer compliance programs, and distribution-related regulations
  • Thorough understanding of private funds, open-end funds, closed-end funds, ETFs, and collective investment trusts
  • Current membership in a state bar
  • Expertise in the Investment Advisers Act of 1940 and the Investment Company Act of 1940
  • Strong command of the Securities Exchange Act of 1934
  • Experience handling FINRA examinations or regulatory inquiries preferred
  • Excellent analytical, communication, and stakeholder management abilities

लाभ

  • Discretionary bonus
  • Reasonable accommodation is available to qualified individuals with disabilities, including veterans, throughout the application process

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