Compliance Officer, Compliance - Distribution

Compliance OfficerPIMCO 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 ResponsibilitiesServe 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.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.QualificationsBachelor'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.Candidates must hold, or be willing to obtain within a reasonable period following hire, the FINRA Series 7 and Series 24 registrations.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 - $ 135,000.00Equal Employment Opportunity and Affirmative Action StatementPIMCO 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 DisabilitiesPIMCO 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 View phone number on click.appcast.io 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.