Compliance Officer

Allianz Global Investors
  • Job Purpose/ Role

    This position acts as an intermediary between Portfolio Management, Trading, and Operations to ensure that orders and executions are compliant with all investment restrictions and the firm’s applicable policies and procedures.

  • Key Responsibilities

    • Work within the investment compliance team to electronically (via Bloomberg AIM) and the firm’s own compliance engine (IPMS) to monitor compliance with all regulatory requirements and the investment guidelines of the firm’s separately managed portfolios and mutual funds ~crlf~• Participate in the coding of client investment guidelines and regulatory requirements in the Bloomberg and IPMS systems.~crlf~• Communicate guideline and trading issues to individuals across the company including Portfolio Management, Trading, Operations and Client Services teams~crlf~• Conduct ongoing reviews of the firm’s institutional accounts to ensure compliance with client guidelines~crlf~• Investigate compliance issues as needed and report findings back to department managers~crlf~• Perform general compliance and operational risk-related functions ~crlf~• Participate in various legal and compliance projects (regional and global)

  • Key Requirements/ Skills

    Required~crlf~• Minimum of 3 years of experience with securities and/or asset management~crlf~• Minimum of 2 years of experience with Bloomberg CMGR coding or on other similar compliance monitoring systems (e.g. Charles River Development) ~crlf~• Computer proficient, including Microsoft Office Suite~crlf~• Flexible workings hours (as early as 6:00AM and as late as 6:00PM PT)~crlf~• Highly detailed-oriented ~crlf~• Ability to work independently and as part of a team~crlf~• Excellent written and verbal communication skills~crlf~• Ability to prioritize effectively and meet both fixed and shifting deadlines ~crlf~~crlf~Preferred:~crlf~• BS or BA degree in related field ~crlf~• Experience in implementing systems and processes~crlf~• Intermediate or advanced MS Excel skills include V-Lookup formulas

  • Additional Information

    Allianz Global Investors is an Equal Opportunity Employer committed to providing equal employment opportunity without regard to an individual’s race, color, religion, age, gender, sexual orientation, veteran status, national origin or disability. Allianz Global Investors hires and promotes individuals solely on the basis of their qualifications for the job to be filled.

  • About Allianz

    Allianz is the home for those who dare – a supportive place where you can take the initiative to grow and to actively strengthen our global leadership position. By truly caring about people – both its 88 million private and corporate customers and more than 140,000 employees – Allianz fosters a culture where its employees are empowered to collaborate, perform, embrace trends and challenge the industry. Our main ambition is to be our customers’ trusted partner, instilling them with the confidence to grow. If you dare, join us at Allianz Group.~crlf~~crlf~Allianz is an equal opportunity employer. Everybody is welcome, regardless of other characteristics such as gender, age, origin, nationality, race or ethnicity, religion, disability, or sexual orientation.

    Allianz Global Investors is the asset management subsidiary of Allianz SE. We are one of the world’s leading active asset managers with over 600 investment professionals in 25 offices worldwide, managing more than EUR 500 billion in assets for individuals, families and institutions.

    Active is how we create and share value with clients. We believe in solving, not selling, adding value beyond pure economic gain. We invest long-term, drawing upon our broad and innovative investment expertise, and leveraging resources globally to ensure a superior client experience wherever they are based and whatever their investment needs.~crlf~Active is: Allianz Global Investors~crlf~~crlf~You are committed to creating value for our clients so that they can meet their financial objectives throughout their lives. You embrace a collegial culture based on strong values, take individual responsibility, and are dedicated to mastering challenging tasks. You aspire to make an impact in a diverse, international, technology-enabled and increasingly agile environment. If you feel inspired to elevate the active asset management experience, this is the place for you since,~crlf~Active is: Allianz Global Investors.~crlf~~crlf~

Job Purpose/ Role

This position acts as an intermediary between Portfolio Management, Trading, and Operations to ensure that orders and executions are compliant with all investment restrictions and the firm’s applicable policies and procedures.

Key Responsibilities

• Work within the investment compliance team to electronically (via Bloomberg AIM) and the firm’s own compliance engine (IPMS) to monitor compliance with all regulatory requirements and the investment guidelines of the firm’s separately managed portfolios and mutual funds ~crlf~• Participate in the coding of client investment guidelines and regulatory requirements in the Bloomberg and IPMS systems.~crlf~• Communicate guideline and trading issues to individuals across the company including Portfolio Management, Trading, Operations and Client Services teams~crlf~• Conduct ongoing reviews of the firm’s institutional accounts to ensure compliance with client guidelines~crlf~• Investigate compliance issues as needed and report findings back to department managers~crlf~• Perform general compliance and operational risk-related functions ~crlf~• Participate in various legal and compliance projects (regional and global)

Key Requirements/ Skills

Required~crlf~• Minimum of 3 years of experience with securities and/or asset management~crlf~• Minimum of 2 years of experience with Bloomberg CMGR coding or on other similar compliance monitoring systems (e.g. Charles River Development) ~crlf~• Computer proficient, including Microsoft Office Suite~crlf~• Flexible workings hours (as early as 6:00AM and as late as 6:00PM PT)~crlf~• Highly detailed-oriented ~crlf~• Ability to work independently and as part of a team~crlf~• Excellent written and verbal communication skills~crlf~• Ability to prioritize effectively and meet both fixed and shifting deadlines ~crlf~~crlf~Preferred:~crlf~• BS or BA degree in related field ~crlf~• Experience in implementing systems and processes~crlf~• Intermediate or advanced MS Excel skills include V-Lookup formulas

Additional Information

Allianz Global Investors is an Equal Opportunity Employer committed to providing equal employment opportunity without regard to an individual’s race, color, religion, age, gender, sexual orientation, veteran status, national origin or disability. Allianz Global Investors hires and promotes individuals solely on the basis of their qualifications for the job to be filled.

About Allianz

Allianz is the home for those who dare – a supportive place where you can take the initiative to grow and to actively strengthen our global leadership position. By truly caring about people – both its 88 million private and corporate customers and more than 140,000 employees – Allianz fosters a culture where its employees are empowered to collaborate, perform, embrace trends and challenge the industry. Our main ambition is to be our customers’ trusted partner, instilling them with the confidence to grow. If you dare, join us at Allianz Group.~crlf~~crlf~Allianz is an equal opportunity employer. Everybody is welcome, regardless of other characteristics such as gender, age, origin, nationality, race or ethnicity, religion, disability, or sexual orientation.

Allianz Global Investors is the asset management subsidiary of Allianz SE. We are one of the world’s leading active asset managers with over 600 investment professionals in 25 offices worldwide, managing more than EUR 500 billion in assets for individuals, families and institutions.

Active is how we create and share value with clients. We believe in solving, not selling, adding value beyond pure economic gain. We invest long-term, drawing upon our broad and innovative investment expertise, and leveraging resources globally to ensure a superior client experience wherever they are based and whatever their investment needs.~crlf~Active is: Allianz Global Investors~crlf~~crlf~You are committed to creating value for our clients so that they can meet their financial objectives throughout their lives. You embrace a collegial culture based on strong values, take individual responsibility, and are dedicated to mastering challenging tasks. You aspire to make an impact in a diverse, international, technology-enabled and increasingly agile environment. If you feel inspired to elevate the active asset management experience, this is the place for you since,~crlf~Active is: Allianz Global Investors.~crlf~~crlf~


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Our way of working gives our employees flexibility in planning and arranging their work and leisure time.
You are encouraged to expand your skills and create a career across functions, countries and Allianz entities.
Access our digital learning programmes anytime, anywhere to create your own unique learning journey.
Join a truly global company and explore our international environment.
Your performance will be recognized with attractive rewards.
Our fun, highly skilled and diverse workforce is key in driving our strategy.
Ingrid, Allianz SE


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Allianz Global Investors is a leading active asset manager operating in 25 offices globally.
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