PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients’ capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world’s largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns.
Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients.
Overview
PIMCO is seeking a Vice President, Legal & Compliance to join the Canadian Legal & Compliance team. This is a high-impact role providing legal and regulatory support to PIMCO's Canadian business while helping to shape and oversee the firm's compliance framework across Canada.
The successful candidate will partner closely with senior business leaders and colleagues across Legal, Compliance, Client Management, Operations, Product Strategy, and Portfolio Management to provide practical, commercial legal and regulatory advice. Working within a collaborative global Legal & Compliance function, this individual will support strategic business initiatives, product development, regulatory change management and the continued growth of PIMCO's Canadian platform.
The role encompasses legal and compliance responsibilities associated with PIMCO's activities as an investment fund manager, portfolio manager and exempt market dealer, supporting both public and private investment funds across institutional and wealth management distribution channels.
Responsibilities
- Provide legal and regulatory advice to PIMCO's Canadian business on a broad range of securities law and compliance matters.
- Support the administration and ongoing enhancement of PIMCO's Canadian compliance program, including the development, implementation and monitoring of policies, procedures and controls.
- Advise on regulatory developments and assist with the implementation of regulatory change initiatives impacting the Canadian business.
- Provide guidance on sales and marketing practices, conflicts of interest, privacy, anti-money laundering, sanctions and other regulatory requirements applicable to the asset management industry.
- Support governance requirements, including matters relating to the Independent Review Committee.
- Advise on the establishment, distribution and ongoing operation of Canadian public and private investment funds.
- Draft, review and negotiate investment management agreements, distribution agreements, subscription agreements and fund offering documents, including prospectuses, fund facts and offering memoranda.
- Support registration, filing and reporting obligations with Canadian securities regulators.
- Partner with business stakeholders on strategic initiatives, new products and evolving regulatory requirements.
- Collaborate with global Legal & Compliance colleagues on cross-border legal and regulatory matters.
- Build and maintain strong working relationships with regulators, external counsel, auditors and internal stakeholders across the firm.
- Lead or contribute to cross-functional projects and compliance initiatives designed to strengthen PIMCO's regulatory framework and control environment.
Key Requirements
- Law degree (J.D. or LL.B.) required.
- Membership in good standing with the Law Society of Ontario, or eligibility for admission.
- Approximately 5-10+ years of legal and/or compliance experience gained within a leading law firm, asset manager, financial institution, securities regulator or comparable environment.
- Strong understanding of the Canadian securities regulatory framework, including National Instruments 31-103, 81-102, 81-105, 81-106 and 81-107.
- Experience advising investment management, investment fund or broader financial services businesses on legal and regulatory matters.
- Experience drafting and negotiating investment management agreements, distribution agreements, subscription agreements and investment fund offering documents.
- Knowledge of anti-money laundering, sanctions, financial crime and privacy requirements applicable to the Canadian market is advantageous.
- Experience interacting with regulators, auditors and senior business stakeholders.
- Completion of the Canadian Securities Course, Partners, Directors and Senior Officers Course, CFA designation or similar professional qualifications is considered an asset.
- Working proficiency in French is desirable.
Professional Skills
- Sound judgment and the ability to provide practical, solutions-oriented advice.
- Strong stakeholder management and relationship-building skills.
- Ability to influence and collaborate effectively across functions and seniority levels.
- Excellent analytical, problem-solving and decision-making capabilities.
- Strong written and verbal communication skills, with the ability to translate complex legal and regulatory concepts into clear business guidance.
- Ability to manage multiple priorities and operate effectively in a fast-paced, dynamic environment.
- High levels of integrity, professionalism and accountability.
- Collaborative approach and commitment to fostering strong partnerships across teams and geographies.
Equal Employment Opportunity and Affirmative Action Statement
PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws.
Applicants with Disabilities
PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.
