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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive expertise in FINRA regulatory compliance, broker-dealer operations, and capital markets, with a strong focus on developing and maintaining compliance programs and frameworks. Proven ability to manage regulatory examinations and provide strategic advice on distribution-related activities and legal risks.
Highest-signal resume keywords
FINRA Regulatory ComplianceBroker-Dealer Compliance FrameworksCapital Markets ExpertiseInvestment Advisers Act of 1940Securities Exchange Act of 1934
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance Program DevelopmentRegulatory Risk MitigationSupervisory Structures DesignTesting Frameworks ImplementationReg BI KnowledgeSales Practices ComplianceRecordkeeping RequirementsMonitoring and SurveillanceDistribution Activities OversightLegal Advisory on Compliance
Soft Skills
Analytical SkillsCommunication SkillsStakeholder Management
Certifications & Qualifications
Juris Doctor (J.D.)Active Bar Membership
Industry Keywords
Capital MarketsBroker-Dealer RegulationPrivate FundsOpen-End FundsClosed-End FundsETFsCollective Investment TrustsFINRA ExaminationsRegulatory InquiriesCompliance Policies
About the role
Key responsibilities & impact- Support the growth of the capital markets business and broker-dealer program
- Lead compliance oversight of PIMCO’s U.S. broker-dealer, with primary responsibility for FINRA regulatory compliance, supervisory structures, and distribution activities
- Serve as primary FINRA interface, managing regulatory examinations, inquiries, filings, and ongoing engagement
- Develop, implement, and maintain compliance programs, including written supervisory procedures, compliance policies, and testing frameworks tailored to distribution and broker-dealer operations
- Advise on FINRA rules and broker-dealer requirements, including communications with the public, sales practices, Reg BI, supervision, and recordkeeping
- Advise internal stakeholders on distribution, broker-dealer, intermediary-related activities, and regulatory compliance matters, including platform oversight, conflicts of interest management, and disclosure obligations
- Identify and mitigate legal and regulatory risks and provide practical solutions
- Conduct monitoring, testing, and surveillance of distribution activities
- Support new product initiatives and business strategies, ensuring compliant distribution structures
- Partner with attorneys, compliance professionals, and business stakeholders on compliance program design, supervisory structures, regulatory engagement, and oversight of examinations and inquiries
Requirements
What you’ll need- Juris Doctor (J.D.) from a leading law school
- 10+ years of relevant experience with significant focus on capital markets, broker-dealer regulation, FINRA compliance, and fund distribution activities
- Deep expertise in FINRA rules, broker-dealer compliance frameworks, and distribution-related regulatory requirements
- Strong knowledge of private funds, open-end funds, closed-end funds, ETFs, and collective investment trusts
- Active Bar membership
- Expertise in the Investment Advisers Act of 1940 and Investment Company Act of 1940
- Strong knowledge of the Securities Exchange Act of 1934
- Experience interacting with FINRA examinations or regulatory inquiries preferred
- Strong analytical, communication, and stakeholder management skills
Benefits
Comp & perks- Discretionary bonus
- Reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures