Compliance Officer, Compliance - Distribution

Sacbar; Newport Beach, Northern (CA, KY); Hybrid; USD 108,000 - 135,000; Full time

Job summary

PIMCO is seeking a Compliance Officer to join its Legal & Compliance Department and take ownership of Licensing & Registration for PI, including Form U4/U5 filings and onboarding processes. This role partners with HR and business stakeholders to ensure regulatory adherence and smooth transitions across personnel movements.

The ideal candidate has a bachelor’s degree, 5+ years in FINRA-regulated environments, and strong FINRA rule knowledge, with experience in registration platforms and

Qualifications

• Bachelor's degree required; J.D. preferred.
• Minimum 5 years of compliance experience within a FINRA-registered broker-dealer, investment management firm, or similar regulated financial services environment.
• Direct experience supporting licensing and registration functions.
• Strong knowledge of FINRA rules relating to registration, supervision, outside business activities, and conflicts of interest.
• Experience with FINRA Gateway and related registration systems; familiarity with NFA registration requirements is a plus.
• Excellent analytical, organizational, and problem-solving skills with exceptional attention to detail.
• Strong written and verbal communication skills and the ability to build effective relationships across all levels of the organization.
• Ability to manage competing priorities and thrive in a fast-paced environment.

Responsibilities

• Serve as the primary subject matter expert for Licensing & Registration, overseeing Form U4 and U5 filings, registration maintenance, and related regulatory requirements.
• Manage onboarding, transfers, and offboarding processes for registered representatives, partnering closely with HR and business stakeholders.
• Administer Outside Business Activity (OBA) disclosures and other registration-related compliance obligations.
• Oversee the firm's NFA registration program and recurring licensing, registration, and regulatory filing requirements.
• Support the firm's broker-dealer compliance program and promote adherence to applicable FINRA and regulatory requirements.
• Administer conflicts of interest controls, including Gifts & Entertainment monitoring and event-related compliance reviews.
• Support electronic surveillance and supervisory monitoring activities, including review and escalation of potential compliance issues.
• Assist in responding to regulatory examinations, audits, annual reviews, and regulatory inquiries.

Skills

FINRA rules knowledge

Licensing & registration experience

Analytical skills

Communication skills

Attention to detail

Education

Bachelor's degree

J.D. preferred

Tools

FINRA Gateway

Job description

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns.

Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients.

Position Description

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. Managing investments for institutions, financial advisors, and millions of individuals worldwide, PIMCO offers a broad range of solutions across fixed income, alternatives, multi-asset, and private strategies.

As PIMCO continues to grow its investment advisory and distribution activities, we are seeking a Compliance Officer to join our Legal & Compliance Department and support the broker-dealer compliance program of PIMCO Investments LLC ("PI") a FINRA-registered broker-dealer and member firm.

This is an excellent opportunity for an experienced compliance professional to take ownership of the firm's Licensing & Registration function while gaining broader exposure to broker-dealer compliance, conflicts management, surveillance activities, regulatory matters, and strategic compliance initiatives. The successful candidate will partner closely with Compliance, Legal, HR, Marketing, and business stakeholders across the organization.

Key Responsibilities

Licensing & Registration

• Serve as the primary subject matter expert for Licensing & Registration, overseeing Form U4 and U5 filings, registration maintenance, and related regulatory requirements.
• Manage onboarding, transfers, and offboarding processes for registered representatives, partnering closely with HR and business stakeholders.
• Administer Outside Business Activity (OBA) disclosures and other registration-related compliance obligations.
• Oversee the firm's NFA registration program and recurring licensing, registration, and regulatory filing requirements.

Broker-Dealer Compliance & Surveillance

• Support the firm's broker-dealer compliance program and promote adherence to applicable FINRA and regulatory requirements.
• Administer conflicts of interest controls, including Gifts & Entertainment monitoring and event-related compliance reviews.
• Support electronic surveillance and supervisory monitoring activities, including review and escalation of potential compliance issues.
• Assist in responding to regulatory examinations, audits, annual reviews, and regulatory inquiries.

Strategic Initiatives & Program Enhancement

• Partner with Compliance colleagues globally to strengthen policies, procedures, controls, and operational effectiveness.
• Leverage technology, workflow automation, data analytics, and AI-enabled tools to enhance compliance monitoring and reporting processes.
• Lead or support strategic compliance initiatives and process improvement projects across the broker-dealer compliance program.
• Maintain expertise in assigned subject matter areas and proactively identify emerging regulatory developments, risks, and improvement opportunities.

Qualifications

Required

• Bachelor's degree required; J.D. preferred.
• Minimum 5 years of compliance experience within a FINRA-registered broker-dealer, investment management firm, or similar regulated financial services environment.
• Direct experience supporting licensing and registration functions.
• Strong knowledge of FINRA rules relating to registration, supervision, outside business activities, and conflicts of interest.
• Experience with FINRA Gateway and related registration systems; familiarity with NFA registration requirements is a plus.
• Excellent analytical, organizational, and problem-solving skills with exceptional attention to detail.
• Strong written and verbal communication skills and the ability to build effective relationships across all levels of the organization.
• Ability to manage competing priorities and thrive in a fast-paced environment.

Licensing Requirements

• Candidates must hold, or be willing to obtain within a reasonable period following hire, the FINRA Series 7 and Series 24 registrations.

Preferred

• Asset management experience supporting institutional and intermediary distribution businesses.
• Experience supporting registered funds, ETFs, separate accounts, and private fund products.
• Experience with surveillance platforms, compliance technology, and workflow automation tools.
• Experience supporting regulatory examinations, audits, and compliance reviews.

PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance.

Salary Range: $ 108,000.00 - $ 135,000.00

PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws.

Applicants with Disabilities

PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.