VP, Legal & Compliance - Canada

About the role

PIMCO, a global leader in active fixed income investing, is seeking a Vice President, Legal & Compliance to join its Canadian Legal & Compliance team. The role provides legal and regulatory support to PIMCO's Canadian business and helps shape and oversee the firm's compliance framework across Canada. It works closely with senior business leaders and colleagues in Legal, Compliance, Client Management, Operations, Product Strategy and Portfolio Management, and supports strategic initiatives, product development, regulatory change management and the growth of PIMCO's Canadian platform. The position covers legal and compliance responsibilities for PIMCO's activities as an investment fund manager, portfolio manager and exempt market dealer.

Key responsibilities

• Provide legal and regulatory advice on securities law and compliance matters
• Support the Canadian compliance program, including policies, procedures and controls
• Advise on regulatory developments and regulatory change initiatives
• Guide sales and marketing practices, conflicts of interest, privacy, anti-money laundering, sanctions and other asset management requirements
• Support governance requirements, including the Independent Review Committee
• Advise on the establishment, distribution and operation of Canadian public and private investment funds
• Draft, review and negotiate investment management, distribution and subscription agreements, and fund offering documents such as prospectuses and fund facts
• Handle registration, filing and reporting obligations with Canadian securities regulators
• Partner with stakeholders on new products and cross-border legal and regulatory matters
• Maintain relationships with regulators, external counsel, auditors and internal stakeholders, and lead or contribute to compliance initiatives

Required profile

• Law degree (J.D. or LL.B.) required, with membership in good standing with the Law Society of Ontario or eligibility for admission
• Approximately 5-10 years of legal and/or compliance experience in a law firm, asset manager, financial institution, securities regulator or comparable environment
• Experience advising investment management, investment fund or financial services businesses on legal and regulatory matters
• Experience drafting and negotiating investment management, distribution and subscription agreements and fund offering documents
• Completion of the Canadian Securities Course, Partners, Directors and Senior Officers Course, CFA designation or similar qualifications is an asset
• Working proficiency in French is desirable

Required skills

• Strong understanding of the Canadian securities regulatory framework, including NI 31-103, 81-102, 81-105, 81-106 and 81-107
• Knowledge of anti-money laundering, sanctions, financial crime and privacy requirements is advantageous
• Experience interacting with regulators, auditors and senior business stakeholders
• Excellent analytical, problem-solving and decision-making abilities, and strong written and verbal communication