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Compliance Officer (f/m/d) - Regulatory Specialist
The Investment Portfolio Compliance (IPC) Surveillance team is part of the Global Legal & Compliance department. We ensure that regulatory, client and internal investment restrictions for European retail and institutional funds are in compliance. IPC considers itself independent partners to Portfolio Management, Client Services and Product teams to achieve excellence across the entire Investment Compliance process chain.~crlf~~crlf~We are looking to add a senior compliance professional and regulatory specialist to our European team, located in Frankfurt. While the role is mainly focusing on regulation and daily compliance monitoring, the individual is encouraged to participate in projects and initiatives as well.~crlf~~crlf~In a challenging field and fast-moving industry, we aim to improve with each day and use technology, such as Robotics, to improve our processes and systems. We are dedicated to further develop our department within a cross-regional collaboration to deliver excellence and add value at all times.
##Maintaining regulatory and auditor relationships, including dealing with queries, investigations and audits as well as formal regulatory enquiries from global regulators such as the BaFin, CSSF or SFC~crlf~##Being a trusted and independent partner to advise clients on investment & regulatory matters in a timely and professional manner~crlf~##Researching for and responding to requests, e.g. from clients, custodians, German KVGs, auditors or other entities involved in guideline compliance monitoring of AllianzGI mandates ~crlf~##Daily investment compliance monitoring of client, regulatory and internal restrictions in globally managed portfolios. Close interaction with various departments to ensure timely identification, documentation, escalation and resolution of compliance issues~crlf~##Conducting root cause analyses on non-compliances, joining efforts with Risk Management to understand and trigger accurate mitigation measures and calculating financial impacts~crlf~##Investigating investment queries with a view to provide impartial analysis and communicate reportable instances to management ~crlf~##Participating in projects/initiatives which aim to enhance processes and systems~crlf~~crlf~
##Bachelor’s Degree or higher, preferably in Economics, Finance, Law or related subjects, affinity with numbers, financials & corporate governance. CFA or equivalent is a plus~crlf~##Proven experience in investment compliance within the financial industry and extensive knowledge of regulations (UCITS) as well as managing relationships with fund auditors and global regulators (BaFin, CSSF or SFC)~crlf~##Knowledge of recognized (compliance) systems, such as MIG21, Charles River, Bloomberg, SCD, Thinkfolio etc. ~crlf~##A highly independent, precise, analytical, pro-active and goal-oriented working style~crlf~##A passion for the field of Investment Compliance~crlf~##Intrinsic motivation to deliver and to improve with every day~crlf~##A mind that challenges the status-quo and finds proper solutions~crlf~##Outspoken and confident~crlf~##Excellent time management and organization skills~crlf~~crlf~
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 85 million private and corporate customers and more than 142,000 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 a leading active asset manager with over 770 investment professionals in 25 offices worldwide and managing EUR 535 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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