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Compliance Officer

Job Level:  Professional
Location: 

HK

Due Date:  31/01/2022
Area of Expertise:  Legal & Compliance
Unit:  Allianz Global Investors
Job Type:  Full-Time
Remote Job:  Not applicable
Employment Type:  Permanent
ID:  2438

Join us. Let’s care for tomorrow.

At Allianz Global Investors our people enjoy motivating, fulfilling careers. If you are looking for a fast-paced working environment, you are resolved to cultivate and expand your talents and relish a challenge, then join us now!

 

We are committed to giving our people – experienced and energetic professionals alike – the opportunities and experiences they seek to thrive and gain personal fulfilment. We will work with you to craft your own career, develop your personal growth, and align your achievements with your ambitions.

Position Summary

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

 

Roles & Responsibilities

  •  Portfolio compliance monitoring using Bloomberg, including coding of investment restrictions, pre-trade and post-trade monitoring based on the portfolio/regulatory guidelines/restrictions (Shift Monitoring start at 7:30am, 9am or 10:30am)
  • Perform monitoring of the investment and trading related activities in AP as identified in the investment advisory compliance surveillance program.  Areas may include, but not limited to best execution, fair allocation, insider dealing etc.
  • Provide advice to the investment personnel (e.g. portfolio managers, traders, analysts) on investment guidelines matter as well as on investment and trading related regulations, policies and procedures
  • Handle the requests and enquiries from internal and external parties (e.g. clients, trustees, auditors)
  • Implement and maintain global and regional policies related to investment and trading activities for AP offices
  • Disclosure of interests monitoring and reporting
  • Liaise with the compliance teams in other offices regularly and on ad-hoc investment compliance issues or projects
  • Participate in compliance department and/or company projects.

 

Memberships/Key Relationships

  • CFA/ FRM preferred but not essential

 

Experience/Qualifications and Skills

  • 5 years of Investment Compliance experience in asset management industry
  • Excellent spoken and written English and Chinese
  • Sound knowledge in regulatory investment restrictions for UCITS, SFC and MPF funds
  • Solid knowledge in different types of financial instruments and asset classes
  • Willingness to learn and work hard
  • Good communication skills
  • Diligent and attention to detail, with strong analytical skills
  • Ability to take initiative, work under pressure, and meet deadlines
  • Ability to adapt to a fast changing environment, understand complex issues quickly, to explain them clearly and concisely, and propose practical solutions

About Allianz Global Investors

Allianz Global Investors is a leading active asset manager with over 705 investment professionals in 23 offices worldwide and managing EUR 647 billion in assets for individuals, families, and institutions. (Data as of 30 September 2021)

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.

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.

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.

 

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. 
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.
We therefore welcome applications regardless of ethnicity or cultural background, age, gender, nationality, religion, disability or sexual orientation.
Great to have you on board. Let's care for tomorrow.
Note: Diversity of minds is an integral part of Allianz’ company culture. One means to achieve diverse teams is a regular rotation of Allianz Executive employees across functions, Allianz entities and geographies. Therefore, the company encourages its employees to have motivation in gaining varied skills from different positions and to collect experiences from across Allianz Group.