Compliance Officer

Allianz Global Investors

The successful candidate will be responsible for implementing and enhancing Allianz Global Investors’ compliance program under the direction of a Senior Compliance Manager. The candidate will help ensure the investment adviser’s and broker-dealer’s compliance with all applicable regulations, particularly the requirements of the SEC, CFTC FINRA and other regulators. ~crlf~~crlf~Responsibilities:~crlf~## Assist with the administration of the Firm’s Code of Ethics, including but not limited to the preclearance of personal trades, outside business activities, and political contributions;~crlf~## Assist with broker-dealer licensing and registrations including processing U4/U5 submissions and amendments;~crlf~## Assist in ensuring the timely and accurate filing of all regulatory reports for the adviser and broker-dealer;~crlf~## Assist in review of marketing materials;~crlf~## Help evaluate the adequacy and effectiveness of AllianzGI US’s policies, procedures and internal controls;~crlf~## Assist in the annual review of applicable policies and procedures;~crlf~## Perform daily surveillance of e-communications of the adviser or broker-dealer personnel;~crlf~## Investigate compliance issues as needed and report findings back to senior management; ~crlf~## Perform general compliance and operational risk related functions as instructed; and~crlf~## Participate in compliance related projects as needed~crlf~

## A good understanding of the securities business 2+ years~crlf~## Good interpersonal skills and effective writing, analytical, and communication skills~crlf~## General knowledge of SEC and FINRA rules and securities laws including the Investment Company Act of 1940. Knowledge of the Investment Adviser’s Act of 1940 a plus~crlf~## Experience with StarCompliance is a plus~crlf~## FINRA Series 7 and 24 registration a plus~crlf~

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.

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 100 million private and corporate customers and more than 147,000 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~We at Allianz believe in a diverse and inclusive workforce and are proud to be an equal opportunity employer. We encourage you to bring your whole self to work, no matter where you are from, what you look like, who you love or what you believe in.

Allianz Global Investors is a leading active asset manager with over 750 investment professionals in 25 offices worldwide and managing EUR 546 billion in assets for individuals, families and institutions.

Active is the most important word in our vocabulary. We believe in solving, not selling, adding value beyond pure economic gain. We offer a collegial culture based on strong values, taking individual responsibility, and dedication to mastering challenging tasks. To harness the power of innovation, we invest in the development of our employees. We encourage you 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.~crlf~~crlf~We are committed to deliver excellence to our clients, advisors, employees, our parent company and within our industry. Putting our clients' needs first, behaving in an open and transparent way and treating people fairly means acting with integrity. We respect difference and diversity and reward individual performance as well as teamwork.~crlf~~crlf~We are also committed to the principles of Equal Employment Opportunity and to providing assistance to applicants with physical and/or mental disabilities. If you are in need support to navigate our website or to complete your application, please send an e-mail with your request to

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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.
7 steps of the application process at Allianz.

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