Senior Vice President, Compliance Greater Santa Ana, CA Area

The Company is in search of a Senior Vice President to lead Compliance for distribution, broker dealer, and capital markets activities. The successful candidate will be responsible for overseeing the compliance program of the company's broker-dealer, with a primary focus on FINRA regulatory compliance, supervisory structures, and distribution activities. This role requires a commercially minded compliance leader with a Juris Doctor (J.D.) from a leading law school, at least 10 years of experience in capital markets, broker-dealer regulation, FINRA compliance, and fund distribution activities, and a deep expertise in FINRA rules and related regulatory requirements. The SVP will also be expected to advise on a range of compliance matters, support the growth of the capital markets business, and ensure that the company's operations are in line with legal and regulatory standards. Key responsibilities for the Senior Vice President include leading the compliance oversight of the U.S. broker-dealer, serving as the primary FINRA interface, and developing and maintaining compliance programs tailored to distribution and broker-dealer operations. The role demands a professional with a strong knowledge of private funds, open-end funds, closed-end funds, ETFs, and collective investment trusts, as well as active Bar membership and expertise in the Investment Advisers Act of 1940 and Investment Company Act of 1940. The ideal candidate will have experience interacting with FINRA examinations or regulatory inquiries, and possess strong analytical, communication, and stakeholder management skills. The position offers a high-impact opportunity to shape the compliance framework, advise senior stakeholders, and grow within a global investment manager committed to excellence.

Hiring Company

PIMCO