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PIMCO
PIMCO
1,001 – 5,000 Employees
H1B Visa SponsorConsultingFinanceLogistics
PIMCO is a global investment management firm serving institutional and individual investors with strategies across public and private markets. Founded in 1971, the company is known for active fixed-income management, bond investing, and multi-asset portfolio construction. Its work combines economic research, market analysis, investment commentary, and active portfolio management to help clients assess changing market conditions and pursue their financial objectives.
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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.

USUnited StatesCACaliforniaNYNew York
$215,000 – $260,000 / year
On-siteFull-timeLeadEnglish RequiredCompliance

Description

  • 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

Requirements

  • 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

Benefits

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

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