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 Overview
PIMCO is seeking a Senior Vice President to lead Legal and Compliance for PIMCO Investments LLC (PI), our broker-dealer responsible for distributing U.S. registered and private funds.
As Head of Legal and Compliance for PI, you will oversee the legal and regulatory framework for PI’s broker-dealer and distribution activities, with a focus on FINRA compliance, supervision, and related regulatory obligations.
You will partner closely with attorneys, compliance professionals, and business stakeholders to support PI’s distribution platform, including compliance program design, supervisory structures, regulatory engagement, and oversight of examinations and inquiries.
You will also lead the drafting, review, and negotiation of fund distribution and selling agreements, while advising on sales practices, disclosure, platform governance, and other broker-dealer compliance matters.
This is a high-impact opportunity for a commercially minded legal or compliance leader to shape PI’s compliance framework, advise senior stakeholders, and grow within a global investment manager committed to excellence.
Key Responsibilities
Lead legal and compliance oversight of PIMCO’s U.S. broker-dealer, with primary responsibility for FINRA regulatory compliance, supervisory structures, and distribution activities.
Serve as primary FINRA interface, managing regulatory examinations, inquiries, filings, and ongoing engagement.
Develop, implement, and maintain compliance programs, including written supervisory procedures (WSPs), compliance policies, and testing frameworks tailored to distribution and broker-dealer operations.
Draft, review, and negotiate agreements related to fund distribution, selling agreements, platform relationships, and intermediary compliance obligations.
Advise on FINRA rules and broker-dealer requirements, including communications with the public, sales practices, Reg BI, supervision, and recordkeeping.
Advise internal stakeholders on distribution, broker-dealer, and regulatory compliance matters, including platform oversight, conflicts of interest, and disclosure obligations.
Identify and mitigate legal and regulatory risks and provide practical solutions.
Partner with Compliance to conduct monitoring, testing, and surveillance of distribution activities.
Support new product initiatives and business strategies, ensuring compliant distribution structures.
Qualifications & Professional Skills
Juris Doctor (J.D.) from a leading law school.
7+ years of relevant experience with significant focus on broker-dealer regulation, FINRA compliance, and fund distribution activities.
Deep expertise in FINRA rules, broker-dealer compliance frameworks, and distribution-related regulatory requirements.
Strong knowledge of open-end funds, closed-end funds, ETFs, and collective investment trusts.
Active Bar membership and expertise in the Investment Company Act of 1940.
Strong knowledge of the Securities Exchange Act of 1934.
Experience interacting with FINRA examinations or regulatory inquiries preferred.
Strong analytical, communication, and stakeholder management skills.
Salary Range: $ 265,000.00 - $ 305,000.00
Equal Employment Opportunity and Affirmative Action Statement
PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws.
Applicants with Disabilities
PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.
Skills Required
- Juris Doctor (J.D.) from a leading law school with strong academic performance.
- Approximately 7+ years of relevant experience supporting U.S. distribution of public and private funds (top‑tier law firm or in‑house asset manager experience preferred).
- Strong technical knowledge of open‑end funds, closed‑end funds, ETFs, and collective investment trusts.
- Active Bar membership in any U.S. state.
- Solid expertise in securities laws governing registered funds, including the Investment Company Act of 1940 and related SEC filing requirements.
- Working familiarity with the Investment Advisers Act of 1940, the Securities Act of 1933, and ERISA.
- Analytical and solutions‑oriented mindset with ability to develop commercially practical guidance.
- High integrity, sound judgment, and ability to partner collaboratively across teams.
- Self‑starter comfortable in a fast‑paced environment and managing competing priorities.
- Exceptional written and verbal communication skills, including ability to simplify complex concepts and influence senior stakeholders.
- Organized and team‑oriented, able to work effectively with colleagues across levels and functions.
PIMCO Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about PIMCO and has not been reviewed or approved by PIMCO.
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Leave & Time Off Breadth — Paid time off is described as generous, with substantial vacation at hire and additional time accruing with tenure. Time away is regarded as a highly important part of the package.
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Healthcare Strength — Health coverage is portrayed as comprehensive across medical, dental, vision, disability, and life insurance, complemented by wellness options such as on-site fitness and health savings accounts. These offerings are consistently characterized as strong.
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Retirement Support — Offerings include 401(k) matching and Roth 401(k), with an employee stock purchase program available alongside tax-advantaged accounts. The breadth of long-term financial benefits is emphasized as a strength.
PIMCO Insights
What We Do
PIMCO is a global leader in active fixed income. With our launch in 1971 in Newport Beach, California, PIMCO introduced investors to a total return approach to fixed income investing. In the 50+ years since, we have worked relentlessly to help millions of investors pursue their objectives – regardless of shifting marketing conditions. As active investors, our goal is not just to find opportunities, but to create them. To this end, we remain firmly committed to the pursuit of our mission: delivering superior investment returns, solutions, and service to our clients.
