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Fixed Income Compliance Jobs in California (NOW HIRING)

PIMCO

Model Sales and Strategy Lead

Newport Beach, CA · On-site

Knowledge of fixed income, multi-sector credit, and income-oriented portfolio construction; familiarity with ETF and mutual fund implementation . * Proven ability to partner with Legal/Compliance on ...

PIMCO

Manager, Digital Fund Enablement

Newport Beach, CA · On-site

$74K - $101K/yr

PIMCO is a global leader in active fixed income with deep expertise across public and private ... You will work closely with Marketing, Product Strategy, Fund Operations, Legal & Compliance, and ...

LGBT Great

VP, Alternatives Tax

Newport Beach, CA · On-site

$175 - $240/hr

PIMCO is a global leader in active fixed income with deep expertise across public and private ... This role offers a unique opportunity to move beyond tax compliance and engage earlier in the ...

PIMCO

VP, Alternatives Tax

Newport Beach, CA · On-site

$148K - $190K/yr

PIMCO is a global leader in active fixed income with deep expertise across public and private ... This role offers a unique opportunity to move beyond tax compliance and engage earlier in the ...

PIMCO

Senior Associate, Legal

Newport Beach, CA · On-site

PIMCO is a global leader in active fixed income with deep expertise across public and private ... Regulatory team within the Legal and Compliance Department. This role is well suited for a legal ...

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Fixed Income Compliance information

What is the difference between Fixed Income Compliance vs Fixed Income Trading?

AspectFixed Income ComplianceFixed Income Trading
Primary FocusEnsuring adherence to regulations and internal policies in fixed income securitiesBuying and selling fixed income securities to generate profit
Required CredentialsCertifications like Series 7, Series 63, or Series 24 often preferredSeries 7, Series 63, or Series 55 typically required
Work EnvironmentRegulatory departments, compliance teams, financial institutionsTrading floors, investment banks, asset management firms
Key ResponsibilitiesMonitoring trades, implementing compliance policies, risk managementExecuting trades, market analysis, portfolio management

While Fixed Income Compliance focuses on regulatory adherence and risk mitigation within fixed income securities, Fixed Income Trading involves actively buying and selling these securities to achieve investment objectives. Both roles require similar certifications and often work within the same financial institutions, but their core functions differ significantly.

Is fixed income compliance a good career?

Fixed income compliance is a specialized field within financial regulation that involves ensuring firms adhere to laws and policies related to bond and debt securities. It requires strong knowledge of financial regulations, attention to detail, and often certification such as the Series 7 or 24. The role offers stability and opportunities for advancement in the finance industry.

What are popular job titles related to Fixed Income Compliance jobs in California?

For Fixed Income Compliance jobs in California, the most frequently searched job titles are:

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The top searched job categories for Fixed Income Compliance jobs in California are:

What cities in California are hiring for Fixed Income Compliance jobs?

Cities in California with the most Fixed Income Compliance job openings:

Fixed Income Compliance jobs near you
Infographic showing various Fixed Income Compliance job openings in California as of August 2026, with employment types broken down into 100% Full Time. Highlights an 100% In-person job distribution.

U.S. Private Bank - Executive Director - Senior OCIO, Investment Specialist - Los Angeles, CA

JPMorgan Chase & Co.

Los Angeles, CA • On-site

$140 - $230/hr

Other

Posted 10 days ago

JPMorgan Chase & Co. rating

8.0

Company rating: 8.0 out of 10

Based on 495 frontline employees who took The Breakroom Quiz

71st of 171 rated banks

Job description

This is an exciting opportunity for you to join a dynamic, diverse team within J.P. Morgan's U.S. Private Bank. We are actively looking for exceptionally talented individuals who are collaborative, confident and motivated to provide a first-class experience to clients.

The J.P. Morgan Outsourced Chief Investment Office ("JPM OCIO") is a dedicated team of investment specialists leveraging the firm's global resources to provide customized solutions and advice for endowments, private and public foundations, and not-for-profits on their investment needs.

As an Investment Specialist in the U.S. Private Bank, you will communicate market strategy and investment knowledge to clients and investment committees in portfolio reviews and investment forums. You will consult with clients to determine their portfolio objectives and long term asset allocations. The investment/product universe includes the entire spectrum of Wealth Management open architecture platform including Fixed Income, Equities, Alternatives and global Multi-Asset mandates.

Job Responsibilities
  • Understand client's goals and objectives to develop and implement investment plan
  • Advise clients on holistic asset allocation, portfolio construction and tactical asset allocation shifts
  • Execute investment solutions in client accounts in accordance with client plans. Such solutions include: Investment Management, Mutual Funds, Structured Products, Hedge Funds, Private Equity, Foreign Exchange, as well as execution of more traditional brokerage transactions.
  • Conduct investment reviews with clients to validate the clients' current investment objectives and prepare recommendations
  • Participate in new business opportunities with Integrated Team Members and Senior Management
  • Perform sales management, including coordination of RFPs, pitches, road shows, campaigns, proposals
  • Interact with clients and prospects, understanding their issues, motivations and factors that are key for success
Required Qualifications, Capabilities, and Skills
  • Seven plus years of experience in Wealth Management or Investment Management
  • Series 7, 66 and Insurance licenses required for position; unlicensed candidates considered, but required to obtain licenses within 90 days of start date
  • Strong knowledge of asset classes (fixed income, equities, and alternatives)
Preferred Qualifications, Capabilities, and Skills
  • Ability to interact effectively with various internal product partners, banking teams, risk and compliance, marketing, etc.
  • Ability to provide mentorship and guidance to develop junior staff
  • Ability to learn and effectively leverage J.P. Morgan's platform, solutions, and investment philosophy
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