Compliance Officer

Allianz Global Investors
  • Job Purpose/ Role

    The Asia Pacific Investment Compliance team is seeking a compliance professional to join team, which is responsible for implementing and executing AP compliance program (advisory, training, coding, monitoring and reporting) for the company's investment related activities AP and is part of a global team that works in close collaboration on policies, training, monitoring, and resolving issues related to the firm's investment related activities.

  • Key Responsibilities

    • The IC team orientated professional will be expected to work closely with the regional/global Investment Compliance team to provide advice in regards to portfolio/regulatory guideline/restrictions, trading, across AP, particularly for the investment professionals, traders, and back/middle office colleagues involved in strategies invested in liquid instruments (e.g., equities, fixed income, derivatives, fx), and often collaborating with compliance and legal professionals to provide solutions for our business partners. ~crlf~• Portfolio Compliance monitoring using Bloomberg, including coding of investment restrictions, pre-trade and post trade monitoring (Shift Monitoring 730am, 9am or 1030am)~crlf~• Trade surveillance monitoring~crlf~• Disclosure of Interests monitoring and reporting~crlf~• Review and production of reports to external clients, internal clients and regulators~crlf~• Harmonize, implement, review and maintain global and regional policies for AP offices~crlf~• Provide advice to businesses on relevant regulatory and policy requirements applicable to AP offices ~crlf~• Perform compliance testing as identified in the Compliance Program. Areas may include, but not limited to proxy voting, soft dollars, best execution, fair allocation, insider dealing and etc.~crlf~• Provide training to relevant teams relating to regulations and internal policies~crlf~• Provide back-up portfolio compliance support to Singapore and Japan office~crlf~• Support the Vice President, AP Investment Compliance in liaising with other offices on regular and ad-hoc investment compliance issues or projects • Candidates with less relevant experience might be considered for AVP

  • Key Requirements/ Skills

    • Over +4 years of solid Investment Compliance experience in asset management~crlf~• Team player and willing to share and transfer knowledge~crlf~• Assertive~crlf~• Stakeholder management

  • Additional Information

    CPA/ CFA/ FRM preferred

  • 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

The Asia Pacific Investment Compliance team is seeking a compliance professional to join team, which is responsible for implementing and executing AP compliance program (advisory, training, coding, monitoring and reporting) for the company's investment related activities AP and is part of a global team that works in close collaboration on policies, training, monitoring, and resolving issues related to the firm's investment related activities.

Key Responsibilities

• The IC team orientated professional will be expected to work closely with the regional/global Investment Compliance team to provide advice in regards to portfolio/regulatory guideline/restrictions, trading, across AP, particularly for the investment professionals, traders, and back/middle office colleagues involved in strategies invested in liquid instruments (e.g., equities, fixed income, derivatives, fx), and often collaborating with compliance and legal professionals to provide solutions for our business partners. ~crlf~• Portfolio Compliance monitoring using Bloomberg, including coding of investment restrictions, pre-trade and post trade monitoring (Shift Monitoring 730am, 9am or 1030am)~crlf~• Trade surveillance monitoring~crlf~• Disclosure of Interests monitoring and reporting~crlf~• Review and production of reports to external clients, internal clients and regulators~crlf~• Harmonize, implement, review and maintain global and regional policies for AP offices~crlf~• Provide advice to businesses on relevant regulatory and policy requirements applicable to AP offices ~crlf~• Perform compliance testing as identified in the Compliance Program. Areas may include, but not limited to proxy voting, soft dollars, best execution, fair allocation, insider dealing and etc.~crlf~• Provide training to relevant teams relating to regulations and internal policies~crlf~• Provide back-up portfolio compliance support to Singapore and Japan office~crlf~• Support the Vice President, AP Investment Compliance in liaising with other offices on regular and ad-hoc investment compliance issues or projects • Candidates with less relevant experience might be considered for AVP

Key Requirements/ Skills

• Over +4 years of solid Investment Compliance experience in asset management~crlf~• Team player and willing to share and transfer knowledge~crlf~• Assertive~crlf~• Stakeholder management

Additional Information

CPA/ CFA/ FRM preferred

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~


You have found the perfect job? It’s time to work on your application. We have some tips for you!

Ready to apply? Train your interview situation upfront through Google Assistant. The platform provides you with information about Allianz useful for your interview preparation, such as:

  • details on the application process
  • Allianz facts & figures
  • information on our corporate culture

How does it work? Let Google Assistant on your smartphone or on your Google Home device know: “Hey Google, I want to talk to Allianz Careers.”

Register/ login to our application system and you will receive a confirmation email with your login data shortly. Fill out the application form. You can upload your data via LinkedIn (or Xing). Find more information about our password rules in our FAQ.

 Please note that the system cannot process ZIP files, protected PDF formats or attachments larger than 7 MB. You can upload your files in the following formats:

  • PDF
  • MS Office formats (Word, PowerPoint, Excel)
  • Graphics Interchange Format (.gif)
  • Joint Photographic Experts Group format (.jpeg)
  • Joint Photographic Group format (.jpeg)
  • Portable Network Graphics (.png)

Find more information in our FAQ.

 

Login to our application system and check your personal start page to see the status of your application. You can release your profile so that our recruiters can find you in the system and contact you. Find more information in our FAQ.

Could not find the right job? We can help you with that. Sign up for job alerts! You will automatically receive a personalized job alert when a job that fits your experience and interests becomes available.

When you get invited for a first interview, make sure to check our website to learn more about Allianz as an employer, our culture and values and get some insights to prepare yourself for the interview.

If you experience technical problems with our application system, check our FAQ for more information . Problem still not resolved? Please send an email with your request and a full screenshot of the error message to careers@allianz.com or send us a message via WhatsApp: +491735686280.
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


Discover the Allianz team


"Our customers empower us with their trust, I maintain/nurture this trust to stand up to the challenges that come along."


Ingrid, Allianz SE

7 steps of the application process at Allianz.

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