Compliance Officer, Distribution

PIMCO

Compliance Officer managing broker-dealer compliance responsibilities at PIMCO. Ensuring regulatory compliance in licensing, registration, and conflict of interest areas.

Posted 5/28/2026full-timeNewport Beach • California, Texas • 🇺🇸 United StatesMid-LevelSenior💰 $108,000 - $135,000 per yearWebsite

About the role

Key responsibilities & impact

Serve as the primary point of contact for all Form U4 and Form U5 filings
Oversee onboarding and offboarding workflows for registered representatives
Monitor and administer outside business activity disclosures
Maintain and update RR records, org charts, and registration populations on a regular basis
Support the firm's conflicts of interest compliance programs
Collaborate with business partners to evaluate event-related expenses
Maintain monitoring populations within the firm's e-surveillance system
Support the development and continuous improvement of the broker-dealer compliance program

Requirements

What you’ll need

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
An undergraduate degree is required; a Juris Doctorate (J.D.) is preferred
Candidates must hold or be prepared to obtain within a reasonable period following hire, the 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 registered funds, ETFs, separate accounts, and private funds.

Benefits

Comp & perks

Health insurance
401(k) matching
Flexible working hours
Paid time off
Professional development opportunities

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

regulatory compliancelicensing and registratione-surveillance systemsmonitoring populationsconflicts of interest complianceonboarding workflowsoffboarding workflowsbusiness activity disclosuresbroker-dealer complianceevent-related expense evaluation

Certifications

FINRA Series 7FINRA Series 24