Compliance Officer, Compliance - Distribution

Responsibilities

• Licensing & Registration
• Serve as the primary point of contact for all Form U4 and Form U5 filings, including initial registrations, amendments, and termination processing through FINRA's Gateway system, ensuring accuracy and timeliness in all submissions.
• Oversee onboarding and offboarding workflows for registered representatives ("RRs"), including coordination with HR on new hires, transfers, and terminations; manage all related documentation and tracking in firm systems.
• Monitor and administer outside business activity ("OBA") disclosures that are reportable on Form U4, reviewing approvals and coordinating amendments as needed.
• Maintain and update RR records, org charts, and registration populations on a regular basis.
• Oversee the firm's NFA registration program, including new applications, amendments, and coordination of required training and fingerprinting obligations.
• Conflicts of Interest Compliance
• Support the firm's conflicts of interest compliance programs, with a focus on monitoring and administering Gifts & Entertainment ("G&E").
• Collaborate with business partners, marketing, and events teams to evaluate event-related expenses and provide guidance on applicable compliance requirements and pre-approval processes.
• E-Surveillance and Supervisory Monitoring
• Support the firm's e-surveillance program for supervision purposes, including maintaining monitoring populations within the firms e-surveillance system.
• Perform ongoing supervision of electronic communications, identifying potential exceptions and escalating issues as appropriate.
• General Compliance Support
• Support the development and continuous improvement of the broker-dealer compliance program, working closely with members of the Compliance Department globally to drive consistency and operational efficiency.
• Manage projects to enhance broker‑dealer compliance processes, including overseeing related technology resources, driving timelines, coordinating cross‑fu

Benefits

Additional Information

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 preeminent leader across fixed income strategies, including registered 40 Act funds, and is expanding its capabilities across a broad range of opportunistic and alternative strategies in the private fund space. Given the growth of its investment advisory and distribution activities, PIMCO seeks a dynamic individual to serve as a Compliance Officer within PIMCO's Legal and Compliance Department. This role will support the broker-dealer compliance program of PIMCO Investments LLC ("PI"), a FINRA-registered broker-dealer and member firm. The Compliance Officer will serve as the primary subject matter expert for the Licensing & Registration function and will support a broader set of broker-dealer compliance responsibilities, including conflicts of interest oversight, e-surveillance monitoring, and event-related compliance reviews. This position may be based in either Newport Beach, CA or Austin, TX. This role requires a professional, self‑motivated individual with strong diplomatic and analytical skills who can flourish in a challenging, fast‑paced, and dynamic environment with shifting priorities driven by business needs.

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