Compliance Officer: Broker-Dealer Licensing & Surveillance
PIMCO
PIMCO is seeking a Compliance Officer in Newport Beach to lead Licensing & Registration within the Legal & Compliance Department. This role manages Form U4/U5 filings, onboarding and ongoing regulatory tasks, and partners with HR and business units to maintain robust licensing programs. The ideal candidate has substantial FINRA experience, strong regulatory knowledge, and the ability to drive improvements in a fast-paced environment. JD preferred; Series 7/24 readiness expected. #J-18808-Ljbffr PIMCO
Vacancy posted 2 days ago
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