Senior Vice President, Compliance Officer

About the position

PIMCO is seeking a Senior Compliance Officer to join its global compliance team within the Legal and Compliance Department, focusing on the U.S. Registered Funds 38a-1 compliance program. This includes open-end funds, exchange-traded funds, closed-end funds, business development companies, and interval funds. The ideal candidate will be based in PIMCO's New York Office and will play a crucial role in supporting the Funds’ Chief Compliance Officer and the U.S. Registered Funds team.

Responsibilities

• Provide direct support to U.S. registered closed-end funds, particularly those operating as interval funds or business development companies.
• Implement and adapt the compliance program to new regulatory requirements.
• Conduct annual reviews of the Funds, Adviser and broader compliance policies, and procedures.
• Assist in the oversight of the Fund’s affiliated and third-party service providers.
• Maintain an understanding of investment company, broker-dealer, and investment advisory compliance policies, regulatory focus areas, and their relevance to U.S. Registered Funds.
• Develop and oversee the U.S. Registered Funds compliance program, ensuring adherence to policies and procedures and federal securities laws.
• Administer the funds' compliance program, including compliance with co-investment exemptive relief granted by the SEC.
• Support compliance program enhancements in response to evolving regulatory requirements and business changes.
• Participate in the Fund’s risk assessment and testing program, including developing a risk matrix, documenting testing plans, executing testing procedures, and identifying enhancements based on test results.
• Oversee the Fund’s service providers, conducting due diligence, monitoring risks and controls, and documenting issue resolution.
• Experience in drafting and coordinating executive level reporting to the Board of Independent Trustees including the Annual Written Report of the Fund CCO.
• Collaborate with various stakeholders to address regulatory matters including external counsel and stakeholders in other PIMCO departments.
• Demonstrate initiative, integrity, and a commitment to PIMCO’s values and ethical principles.

Requirements

• Bachelor's degree or equivalent required; a JD is considered a plus.
• Several years of relevant experience in a major financial services firm or global asset manager, with a focus on ’40 Act products such as closed-end funds, interval funds, or business development companies.
• Comprehensive knowledge of regulatory frameworks applicable to U.S. investment managers and broker-dealers, including familiarity with the Investment Company Act of 1940, Investment Advisers Act, and FINRA rules.
• A solid background in various investment strategies, including fixed income, alternatives, derivatives, commodities, and equity, across different investment products.
• Strong analytical skills and attention to detail, with an independent and collaborative work ethic.
• Creative drive and efficient use of Excel and analytical tools for data analysis.
• Exceptional organizational abilities, capable of prioritizing tasks, meeting deadlines, and adapting to changing business needs.
• Strong communication, presentation, and analytical skills, with the ability to think critically and balance regulatory requirements with business perspectives.
• Team-oriented with a global mindset, cultural sensitivity, and proficiency in MS Office suite.

Benefits

• Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors.
• The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance.
• Salary Range: $150,000.00 - $225,000.00.