PIMCO

1.001 – 5.000 Angajați

Sponsor pentru viza H1B Consultanță Finanțe Logistică

PIMCO este o companie globală de administrare a investițiilor, care deservește investitori instituționali și individuali prin strategii pentru piețe publice și private. Fondată în 1971, compania este cunoscută pentru gestionarea activă a investițiilor cu venit fix, investițiile în obligațiuni și construirea portofoliilor multi-active. Activitatea sa combină cercetarea economică, analiza piețelor, comentariile investiționale și gestionarea activă a portofoliilor, pentru a-i ajuta pe clienți să evalueze schimbarea condițiilor de piață și să își urmărească obiectivele financiare.

Locurile de muncă ale companiei

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.

acum 1 săptămână

Statele Unite ale Americii

California

New York

215.000 $ – 260.000 $ / an

La sediu Normă întreagă Lider Limbă Obligatorie: engleză Conformitate

Descriere

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

Cerințe

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

Beneficii

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

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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.

Descriere

Cerințe

Beneficii

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