Senior Vice President, Compliance
Core
Lead compliance oversight for PIMCO's U.S. broker-dealer, distribution, and capital markets activities, focusing on FINRA regulatory compliance and supervisory structures.
Role type
Senior Vice President, Compliance (Capital Markets/Broker-Dealer)
Builds
Compliance programs, supervisory procedures, and regulatory frameworks for distribution and broker-dealer operations.
Domain
Financial Services / Investment Management / Broker-Dealer Regulation
Required skills
FINRA rules expertise, broker-dealer compliance frameworks, fund distribution regulation, legal risk mitigation, regulatory examination management, written supervisory procedures (WSPs) development, stakeholder advisory, conflict of interest management.
Preferred skills
Experience with FINRA examinations or regulatory inquiries, knowledge of Investment Advisers Act and Investment Company Act.
Technologies
N/A
Responsibilities
Lead compliance oversight of PIMCO's U.S. broker-dealer; Serve as primary FINRA interface managing examinations and inquiries; Develop and maintain compliance programs and testing frameworks; Advise internal stakeholders on distribution and regulatory compliance; Identify and mitigate legal and regulatory risks; Conduct monitoring and surveillance of distribution activities.
Seniority
Senior Vice President, Strategic Leadership