PIMCO
PIMCO
PIMCO davlat va xususiy bozorlarda turli strategiyalarni taklif etib, institutsional hamda individual investorlarga xizmat ko‘rsatuvchi global investitsiyalarni boshqarish kompaniyasidir. 1971-yilda tashkil etilgan kompaniya faol qat’iy daromadli investitsiyalarni boshqarish, obligatsiyalarga sarmoya kiritish va ko‘p aktivli portfellarni shakllantirish sohalaridagi tajribasi bilan tanilgan. Uning faoliyati mijozlarga o‘zgarib turadigan bozor sharoitlarini baholash va moliyaviy maqsadlariga erishishga intilishda yordam berish uchun iqtisodiy tadqiqotlar, bozor tahlili, investitsiya sharhlari hamda portfellarni faol boshqarishni birlashtiradi.

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.

Tavsif

  • 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

Talablar

  • 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

Imtiyozlar

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

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