Senior Compliance Leader - Distribution & Capital Markets
pimcoNew York, NY
Senior Compliance Leader - Distribution & Capital Markets
pimcoNew York, NY
2 days ago
Industries
Investment Banking and Securities IntermediationMiscellaneous IntermediationMiscellaneous Financial Investment ActivitiesAbout the role
PIMCO Ltd. - Pacific Investment Management Company is seeking a Senior Compliance Officer to lead compliance for distribution, broker-dealer and capital markets activities, including oversight of the compliance program for PIMCO Investments LLC (PI).
You will oversee the regulatory framework for broker-dealer operations, FINRA compliance, and related regulatory obligations, partnering with attorneys and business stakeholders to design, implement and monitor an effective compliance program across
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JOB OVERVIEW
Experience level
Lead
Location
New York, NY
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
2 days ago
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