Head of Legal & Compliance, PIMCO Investments LLC
$265,000–$305,000 year
On-site · New York City, New York, United States
Job Summary
Lead legal and regulatory compliance for PI's U.S. broker-dealer and distribution activities, focusing on FINRA compliance, supervisory structures, and distribution-related regulatory obligations. Serve as the primary FINRA interface, develop and maintain compliance programs and written supervisory procedures, draft and negotiate fund distribution and platform-related agreements, advise on FINRA rules, Reg BI, and disclosure obligations, and collaborate with internal stakeholders to design governance and controls across distribution activities.
Required Qualifications
- Juris Doctor (J.D.) from a leading law school
- 7+ years of relevant experience with broker-dealer regulation, FINRA compliance, and fund distribution activities
- Active Bar membership
- Deep expertise in FINRA rules and broker-dealer compliance frameworks
- Strong knowledge of open-end funds, closed-end funds, ETFs, and collective investment trusts
- Securities Exchange Act of 1934
- Investment Company Act of 1940
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