About this role
Compliance Officer, Compliance – Distribution at Pimco. Location: Newport Beach or Austin. Role: Licensing, Registration, Surveillance Requirements: 3+ years regulatory compliance in a FINRA-registered broker-dealer; licensing/registration; Series 7/24 required or pursuing; undergraduate degree; knowledge of FINRA/NFA rules. Category: Legal and Compliance Seniority: Mid Level Tools: FINRA Gateway, NFA ORS, Microsoft Office Certifications: finra series 7, finra series 24 Commitment: Full Time Workplace: Hybrid Languages: English