Compliance Officer, Compliance – Distribution

Compliance Officer

PIMCO is a preeminent leader across fixed income strategies, including registered 40 Act funds, and is expanding its capabilities across a broad range of opportunistic and alternative strategies in the private fund space. Given the growth of its investment advisory and distribution activities, PIMCO seeks a dynamic individual to serve as a Compliance Officer within PIMCO's Legal and Compliance Department. This role will support the broker-dealer compliance program of PIMCO Investments LLC ("PI"), a FINRA-registered broker-dealer and member firm.

The Compliance Officer will serve as the primary subject matter expert for the Licensing & Registration function and will support a broader set of broker-dealer compliance responsibilities, including conflicts of interest oversight, e-surveillance monitoring, and event-related compliance reviews. This position may be based in either Newport Beach, CA or Austin, TX.

This role requires a professional, self‑motivated individual with strong diplomatic and analytical skills who can flourish in a challenging, fast‑paced, and dynamic environment with shifting priorities driven by business needs.

• Licensing & Registration
• Serve as the primary point of contact for all Form U4 and Form U5 filings, including initial registrations, amendments, and termination processing through FINRA's Gateway system, ensuring accuracy and timeliness in all submissions.
• Oversee onboarding and offboarding workflows for registered representatives ("RRs"), including coordination with HR on new hires, transfers, and terminations; manage all related documentation and tracking in firm systems.
• Monitor and administer outside business activity ("OBA") disclosures that are reportable on Form U4, reviewing approvals and coordinating amendments as needed.
• Maintain and update RR records, org charts, and registration populations on a regular basis.
• Oversee the firm's NFA registration program, including new applications, amendments, and coordination of required training and fingerprinting obligations.
• Manage recurring licensing and registration obligations, including qualification exam administration, state registration reviews, annual FINRA Gross Assessment breakouts, Fidelity Bond renewals, Tennessee privilege tax filings, Illinois Designated Principal renewals, and FINRA Contact Renewal and Entitlement User Account certifications.
• Conflicts of Interest Compliance
• Support the firm's conflicts of interest compliance programs, with a focus on monitoring and administering Gifts & Entertainment ("G&E").
• Collaborate with business partners, marketing, and events teams to evaluate event-related expenses and provide guidance on applicable compliance requirements and pre-approval processes.
• E-Surveillance and Supervisory Monitoring
• Support the firm's e-surveillance program for supervision purposes, including maintaining monitoring populations within the firms e-surveillance system.
• Perform ongoing supervision of electronic communications, identifying potential exceptions and escalating issues as appropriate.
• General Compliance Support
• Support the development and continuous improvement of the broker-dealer compliance program, working closely with members of the Compliance Department globally to drive consistency and operational efficiency.
• Leverage compliance technology and collaborate across departments to identify, implement, and enhance compliance processes, including workflows supporting pre‑approval requirements, surveillance, and reporting, and to strengthen the firm's overall compliance programs. Proactively respond to regulatory changes, business developments, and information requests arising from regulatory examinations, internal audits, and compliance program annual reviews, including coordinating internally to gather, review, and deliver accurate and timely responses.
• Manage projects to enhance broker‑dealer compliance processes, including overseeing related technology resources, driving timelines, coordinating cross‑functional stakeholders and vendors, and managing communications to ensure successful delivery of compliance initiatives.
• Demonstrate ownership of…