PIMCO
PIMCO
PIMCO — мемлекеттік және жеке нарықтардағы әртүрлі стратегиялар арқылы институционалдық және жеке инвесторларға қызмет көрсететін жаһандық инвестицияларды басқару компаниясы. 1971 жылы құрылған компания белсенді тіркелген кірісті құралдарды басқару, облигацияларға инвестициялау және көп активті портфельдерді қалыптастыру салаларындағы тәжірибесімен танымал. Оның қызметі клиенттерге нарық жағдайындағы өзгерістерді бағалап, қаржылық мақсаттарына ұмтылуға көмектесу үшін экономикалық зерттеулерді, нарықтық талдауды, инвестициялық шолуларды және портфельдерді белсенді басқаруды ұштастырады.

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.

Сипаттама

  • 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

Талаптар

  • 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

Артықшылықтар

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

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