Compliance Analyst

Allianz Global Investors

At Allianz Global Investors, our people enjoy motivating, fulfilling careers. If you’re looking for a fast-paced working environment, 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.~crlf~~crlf~We are looking for you! Allianz Global Investors is seeking a qualified and motivated individual for the position of Compliance Analyst. The successful candidate will be responsible for implementing and enhancing the investment adviser’s and broker-dealer’s compliance program under the direction of the Chief Compliance Officer. The candidate will help ensure the investment adviser’s and broker-dealer’s compliance with all applicable regulations, particularly the requirements of FINRA and the SEC. ~crlf~~crlf~Responsibilities:~crlf~## Assist with monitoring of Code of Ethics, including preclearance of personal trades~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 including Form BD and other broker-dealer filings;~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~

## BS/BA required. ~crlf~## A good understanding of the securities business 3+ years.~crlf~## Good interpersonal skills and effective writing, analytical, and communication skills.~crlf~## Detailed knowledge of 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 a plus~crlf~## Must work well under pressure and be able to effectively prioritize tasks, produce consistently accurate work and meet strict deadlines. ~crlf~## Must take initiative in learning and applying new skills and regulations. ~crlf~## Consensus builder and team player with the ability to work well within a matrix organization; experience in dealing with global companies a plus.~crlf~~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 recruiting@allianzgi.com~crlf~~crlf~


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Nuestro personal divertido, altamente cualificado y diverso es la clave para llevar a la práctica nuestra estrategia.


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Allianz Global Investors es una compañía de gestión de activos líder con más de 25 oficinas en todo el mundo. (Inglés)