PIMCO · 8 hours ago
SVP, Senior Compliance & Transformation Officer
Newport Beach, CA
Full-time
Onsite
Senior Level, Lead/Staff
$215K/yr - $260K/yr
10+ years expPIMCO is a global leader in active fixed income, seeking a seasoned Senior Vice President, Senior Compliance and Transformation Officer to lead its global compliance program. This high-impact leadership role focuses on compliance oversight, strategic transformation, and enhancing operational excellence while mentoring talent and communicating with senior leadership.
BankingCrowdfundingFinancial ServicesVenture Capital
Responsibilities
Central Compliance Leadership & Regulatory Oversight
Lead and Innovate: the prioritization, design, and execution of major compliance transformation initiatives
Risk Leadership: Proactively identify, assess, and resolve conflicts of interest and other compliance risks
Global Collaboration: Partner with Compliance teams across regions to ensure consistency and deliver program enhancements
Team Development: Inspire and mentor a high-performing team, fostering a culture of excellence and accountability
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
Operational Modernization: Identify and implement opportunities for automation, workflow redesign, data integration, and process standardization
Change Enablement: Drive change management including communication, training, and adoption strategies for new tools and processes
Qualification
Required
Bachelor's degree required (Accounting, Business, Finance, or Economics preferred)
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
Compliance Expertise: Proven experience across key compliance areas, including code of ethics, personal trade surveillance, electronic communications monitoring (e-comms), political contributions, and proxy voting
Technical Knowledge: 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
Advanced credentials (JD, CFA, or equivalent) highly valued
Familiarity with project management methodologies is a plus
Company
PIMCO
PIMCO, a global investment solutions provider that manages investments for public and private pension and retirement plans and other assets.
1001-5000 employees
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
Represents job field similar to this job
Trends of Total Sponsorships
2025 (109)
2024 (101)
2023 (120)
2022 (149)
2021 (90)
2020 (69)
Funding
Current Stage
Late StageLeadership Team
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Recent News
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