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PIMCO · 1 day ago

SVP, Senior Compliance Officer (Newport Beach)

Newport Beach, CA

Full-time

Onsite

Senior Level, Lead/Staff

$215K/yr - $260K/yr

10+ years exp

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. The Senior Compliance Officer will provide oversight across critical elements of the firm’s compliance program, drive innovation, strengthen regulatory frameworks, and partner closely with senior firm leadership.

BankingCrowdfundingFinancial ServicesVenture Capital

H1B Sponsor Likely

Responsibilities

Lead and Innovate: Drive the evolution of compliance policies and controls, anticipating regulatory trends and aligning with business priorities

Global Collaboration: Partner with Compliance teams across regions to ensure consistency and deliver program enhancements

Risk Leadership: Proactively identify, assess, and resolve conflicts of interest and other compliance risks

Executive Reporting: Deliver comprehensive updates on compliance program status to senior Legal and Compliance leadership

Strategic Initiatives: Manage and execute projects that strengthen PIMCO’s compliance framework and operational resilience

Team Development: Inspire and mentor a high-performing team, fostering a culture of excellence and accountability

Qualification

Compliance expertiseRegulatory knowledgeLeadership experienceTechnical knowledgeAdvanced credentialsPassion for innovationExceptional communicationStrategic thinkerAdaptability

Required

Bachelor's degree required

Minimum 10 years in compliance within a large, diverse investment management firm

Expertise implementing compliance programs under Rule 206(4)-7 of the Investment Advisers Act

At least 5 years of leadership experience with direct supervisory responsibility

Proven experience across key compliance areas, including code of ethics, personal trade surveillance, electronic communications monitoring (e-comms), political contributions, and proxy voting

Strong understanding of global equity and fixed income markets, including bonds, equities, and derivatives

Exceptional communication and interpersonal skills

Strategic thinker with high integrity and ethical standards

Ability to manage multiple priorities with precision and adaptability

Passion for innovation and continuous improvement

Preferred

Accounting, Business, Finance, or Economics preferred

Advanced credentials (JD, CFA, or equivalent) highly valued

Company

PIMCO

Glassdoor3.7

PIMCO, a global investment solutions provider that manages investments for public and private pension and retirement plans and other assets.

Founded in 1971

Newport Beach, California, USA

1001-5000 employees

http://www.pimco.com

H1B Sponsorship

PIMCO has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

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Trends of Total Sponsorships

2025 (109)

2024 (101)

2023 (120)

2022 (149)

2021 (90)

2020 (69)