Senior Compliance & Licensing Officer (Broker-Dealer)
Sacbar
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 #J-18808-Ljbffr Sacbar
Vacancy posted 8 hours ago
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