Senior Vice President, Compliance Greater New York City, NY Area + 1 more

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 deep understanding of FINRA rules, broker-dealer compliance frameworks, and distribution-related regulatory requirements. The SVP will also be involved in the development and maintenance of compliance programs, advising on regulatory matters, and supporting the growth of the firm's capital markets business. Applicants must have a Juris Doctor (J.D.) from a leading law school, at least 10 years' of relevant experience, and active Bar membership. The role demands a professional with strong knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Securities Exchange Act of 1934. Experience in interacting with FINRA examinations or regulatory inquiries is preferred. The ideal candidate will have a proven track record in identifying and mitigating legal and regulatory risks, as well as strong analytical, communication, and stakeholder management skills. This is a high-impact opportunity for a commercially minded compliance leader to shape the compliance framework, advise senior stakeholders, and grow within a global investment manager committed to excellence.

Hiring Company

PIMCO