Head of Legal & Compliance, PIMCO Investments LLC

Location: New York, NY, USA

Salary: $265,000–$305,000 per year, plus a discretionary bonus

Company

Global investment manager specializing in active fixed income and public and private market investment solutions.

What you will do

• Lead legal and compliance oversight for the U.S. broker-dealer and its fund distribution activities.
• Act as the primary FINRA interface and manage examinations, inquiries, filings, and regulatory engagement.
• Develop and maintain compliance programs, written supervisory procedures, policies, and testing frameworks.
• Draft, review, and negotiate fund distribution, selling, platform, and intermediary compliance agreements.
• Advise stakeholders on FINRA rules, sales practices, Reg BI, public communications, supervision, recordkeeping, conflicts, and disclosures.
• Support monitoring, surveillance, new product initiatives, and compliant distribution strategies while mitigating legal and regulatory risks.

Requirements

• Juris Doctor degree from a leading law school.
• 7+ years of relevant experience focused on broker-dealer regulation, FINRA compliance, and fund distribution.
• Deep expertise in FINRA rules and broker-dealer compliance frameworks.
• 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 and Securities Exchange Act of 1934.
• Strong analytical, communication, and stakeholder management skills.

Nice to have

• Experience interacting with FINRA examinations or regulatory inquiries.

Culture & Benefits

• High-performance and inclusive culture centered on collaboration, openness, responsibility, and excellence.
• Total compensation includes a fixed base salary and discretionary performance bonus.
• Equal employment opportunity and reasonable accommodation for qualified applicants with disabilities.