Sr. Compliance Manager - Capital Markets

Allianz Global Investors

At Allianz Global Investors, our people enjoy motivating, fulfilling careers. If you’re looking for a fast-paced working environment and a new exciting career, then join us now! We’re committed to giving our people – experienced and energetic professionals alike – the opportunities and experiences they seek to thrive and gain personal fulfilment. We are looking for you! We are currently seeking a Senior Compliance Manager to lead the US team. The Global IAC team is responsible for implementing and executing a Global compliance program (advisory, training, monitoring and reporting) for the company's investment related activities (e.g. research, portfolio management, trading, pricing) in the US, Europe, and Asia-Pacific. The team works in close collaboration on harmonizing policies, training, monitoring, and resolving cross-border issues related to the company’s investment activities in traditional assets (equities, fixed income, derivatives, fx, multi-asset.) The team also forms a key part of the US regional Legal & Compliance team, working with local compliance, legal, risk, business and other support function colleagues to ensure compliance with US regulatory requirements, client needs and industry standards.~crlf~~crlf~Responsibilities:~crlf~## Lead the local US IAC team~crlf~## Support the Global Head of Investment Advisory Compliance and the US General Counsel in building a strong culture of compliance across the investment platform.~crlf~## Provide compliance advice to US investment professionals, working closely with the other Legal and Compliance team members. ~crlf~## Lead local and global IAC projects; represent IAC on company initiatives. ~crlf~## Represent IAC on certain governance committees (e.g. US Best Execution Committee, US Pricing Committee), as well as on the US Legal & Compliance Leadership Team.~crlf~## Evaluate the adequacy and effectiveness of AllianzGI’s policies, procedures and internal controls.~crlf~## Lead the drafting and implementation of policies, procedures, and controls.~crlf~## Implement reviews and monitoring processes with respect to the investment, trading, and valuation activities of the traditional asset strategies. ~crlf~## Be responsible for contributing to the development and delivery of regular and ad hoc compliance training on IAC matters.~crlf~## Investigate compliance issues as needed and report findings back to the Global Head of Investment Advisory Compliance and management.~crlf~## Oversee US specific regulatory reporting (eg. 13F/13G)~crlf~## Perform general compliance and operational risk related functions as instructed.~crlf~## Support or lead the management of responses to inquiries and audits by internal and external auditors, depositories/trustees/clients, and regulators.~crlf~## Perform general compliance and operational risk related functions as needed.~crlf~## Stay abreast of IAC related industry practices and regulatory matters.~crlf~

## BS/BA~crlf~## 8+ years of relevant compliance, operational risk, or legal experience, preferably within the asset management industry. Including at least 5 years dealing with trading and market abuse related issues, and preferably at least 2 years of team management experience.~crlf~## Full knowledge of the Adviser’s Act ~crlf~## Knowledge of derivatives and CFTC / NFA requirements ~crlf~## Experience implementing systems and processes is necessary~crlf~## Working knowledge of Bloomberg~crlf~## Experience interpreting and implementing sanctions ~crlf~## Diligent and attention to detail, with strong analytical skills~crlf~## Strong verbal and written communication skills~crlf~## Ability to take initiative, work under pressure, and meet deadlines~crlf~## Team player and ability to build positive relationships across the business internally and externally and commitment to contributing to a strong compliance culture within the firm~crlf~## Ability to adapt to a fast changing environment, understand complex issues quickly, to explain them clearly and concisely, and propose practical solutions~crlf~## Experience in a multi-cultural work environment in which the candidate was a member of a team where his/her team members and/or manager were located in another country.~crlf~

Allianz Group is one of the most trusted insurance and asset management companies in the world. Caring for our employees, their ambitions, dreams and challenges, is what makes us a unique employer. Together we can build an environment where everyone feels empowered and has the confidence to explore, to grow and to shape a better future for our customers and the world around us. Join us. Let’s care for tomorrow.~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 690 investment professionals in 23 offices worldwide and managing EUR 598 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.
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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.
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Allianz Global Investors is a leading active asset manager operating in 25 offices globally.