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About the Role

Serve as a Compliance Officer within PIMCO’s Legal and Compliance Department, supporting the broker-dealer compliance program of PIMCO Investments LLC. This role is the primary subject matter expert for Licensing & Registration and supports conflicts of interest oversight, e-surveillance monitoring, and event-related compliance reviews. The position requires a professional, self-motivated individual with strong diplomatic and analytical skills to thrive in a challenging, fast-paced, and dynamic environment with shifting priorities driven by business needs.

Responsibilities

Serve as the primary point of contact for all Form U4 and Form U5 filings, ensuring accuracy and timeliness in submissions.
Oversee onboarding and offboarding workflows for registered representatives, coordinating with HR and managing documentation.
Monitor and administer outside business activity disclosures reportable on Form U4, reviewing approvals and coordinating amendments.
Maintain and update registered representative records, organizational charts, and registration populations.
Oversee the firm's NFA registration program, including new applications, amendments, training, and fingerprinting obligations.
Manage recurring licensing and registration obligations, including qualification exam administration and state registration reviews.
Support the firm's conflicts of interest compliance programs, focusing on monitoring and administering Gifts & Entertainment.
Collaborate with business partners, marketing, and events teams to evaluate event-related expenses and provide compliance guidance.
Support the firm's e-surveillance program for supervision purposes, including maintaining monitoring populations.
Perform ongoing supervision of electronic communications, identifying potential exceptions and escalating issues.
Support the development and continuous improvement of the broker-dealer compliance program, driving consistency and operational efficiency.
Leverage compliance technology and collaborate across departments to enhance compliance processes and strengthen programs.
Proactively respond to regulatory changes, business developments, and information requests from examinations, audits, and reviews.
Manage projects to enhance broker-dealer compliance processes, overseeing technology, timelines, stakeholders, and communications.
Demonstrate ownership of assigned functions by proactively developing a strong understanding of designated subject-matter areas.
Behave consistently with the expressed values and ethical principles of PIMCO.

Requirements

Excellent problem-solving skills with a high degree of attention to detail.
Strong written and verbal communication skills, able to articulate compliance requirements clearly.
Service-oriented with the ability to balance regulatory and policy standards alongside business needs.
Highly motivated self-starter with strong organizational skills.
Ability to manage competing priorities and meet strict deadlines in a fast-paced environment.
Experience with FINRA registration systems, including FINRA Gateway.
Collaborative team player, able to work effectively across functions, global teams, and all organizational levels.
Demonstrated understanding of AI platforms and the Microsoft Office Suite, including Word and Excel.
Minimum 3 years of regulatory compliance experience within a FINRA-registered broker-dealer or large investment management firm.
Direct experience in licensing and registration functions.
Hold or be prepared to obtain FINRA Series 7 (General Securities Representative) and Series 24 (General Securities Principal) registrations.
Demonstrated knowledge of FINRA Rules and regulations applicable to broker-dealers.
Background in fixed income, alternatives, or multi-asset strategies offered across various fund types.
Familiarity with FINRA and NFA registration requirements, including applicable rules and regulations.

Skills

Diplomatic skills
Analytical skills
Problem-solving skills
Attention to detail
Written communication
Verbal communication
Organizational skills
FINRA Gateway
NFA’s Online Registration System (ORS)
AI platforms
Microsoft Office Suite
Word
Excel
Compliance vendor platforms

Location

Newport Beach, CA
Austin, TX

Experience Level

Minimum 3 years of regulatory compliance experience

Education Level

Undergraduate degree
Juris Doctorate (J.D.) preferred

Salary/Compensations

$108,000.00 - $135,000.00

About the Company

PIMCO is a global leader in active fixed income with deep expertise across public and private markets.
We invest clients’ capital across fixed income and credit opportunities, leveraging decades of experience.
Our flexible capital base and deep relationships with issuers make us one of the world’s largest providers of traditional and nontraditional solutions.
Since 1971, our people have shaped our organization through a high-performance inclusive culture, celebrating diverse thinking.
We invest in our people and strive to imprint our CORE values: Collaboration, Openness, Responsibility, and Excellence.
PIMCO is recognized as an innovator, industry thought leader, and trusted advisor to our clients.
Active management is our responsible way to invest clients' assets in fixed income.
For 50 years, we have worked relentlessly to help millions of investors pursue their objectives.
Our clients rely on an investment process that has been tested in virtually every market environment.
PIMCO's investment process brings together investment professionals from across the globe to promote fresh ideas and differing points of view.
Innovation has long been part of the fabric of PIMCO’s culture, assessing shifting risks and opportunities to build forward-looking solutions.

Equal Opportunity

PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion, sex, sexual orientation, gender, age, military or veteran status, disability, or any factor prohibited by law.
The company affirms in policy and practice to support and promote equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial, and municipal laws.
Discrimination on other bases such as medical condition or marital status is also prohibited under applicable laws.
PIMCO is an Equal Employment Opportunity/Affirmative Action employer.
We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures.
Applicants with difficulty using our online system due to a disability may contact us at 949-720-7744 for accommodation.