Head of Legal & Compliance, PIMCO Investments LLC

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 an exceptional, forward-thinking Senior Vice President to lead Legal and Compliance for our broker-dealer, PIMCO Investments LLC ("PI"). PI is responsible for the distribution of our U.S. registered and private funds.

As the Head of Legal and Compliance for PI, you will lead both the legal and regulatory compliance framework governing PI's broker-dealer and distribution activities, with a primary focus on FINRA compliance, supervision, and distribution-related regulatory obligations.

You will join a highly collaborative, high-performing team and become a key partner in shaping the firm's distribution platform. In this position, you will work closely with attorneys and compliance professionals to deliver sophisticated, end-to-end legal and regulatory support, with a strong emphasis on broker-dealer compliance program design, supervisory structures, and ongoing regulatory oversight.

You will oversee PI's compliance functions for FINRA and broker-dealer regulatory matters, acting as the primary point of contact with FINRA and other regulators, and overseeing examinations, inquiries, and ongoing regulatory engagement.

You will also take the lead on drafting, reviewing, and negotiating a broad array of fund-related agreements, with attention to distribution compliance, selling agreements, and platform-related regulatory requirements.

As a trusted strategic advisor across the firm, you will guide stakeholders through complex distribution, broker-dealer, and regulatory compliance considerations, including sales practices, supervision, disclosure, and platform governance.

You will play a central role in designing, enhancing, and overseeing PI's compliance policies, supervisory procedures (WSPs), and controls, ensuring alignment with FINRA rules, SEC requirements, and evolving regulatory expectations.

This is a standout opportunity for a proactive, commercially minded attorney or compliance leader to take ownership, influence senior decision-makers, 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.

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.