About this role
Compliance Officer, Compliance – Distribution at PIMCO. Location: Newport Beach, California, United States. Role: License filings, Monitor conflicts, Oversee e-surveillance Requirements: 3+ years regulatory compliance experience in a FINRA-registered broker-dealer or large investment manager; licensing/registration expertise; FINRA/NFA familiarity; undergraduate degree; FINRA Series 7 and 24 registrations or readiness to obtain. Category: Legal and Compliance Seniority: Mid Level Tools: FINRA Gateway, NFA Online Registration System (ORS), e-surveillance system, Microsoft Office, Compliance vendor platforms Certifications: finra series 7, finra series 24, nfa registration Commitment: Full Time Workplace: Onsite Languages: English