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Investment Compliance Officer

Job Level:  Professional

New York, NY, US, 10019

Due Date:  10/29/2021
Area of Expertise:  Legal & Compliance
Unit:  Allianz Global Investors
Job Type:  Full-Time
Remote Job:  Not applicable
Employment Type:  Permanent
ID:  1005

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.

We are looking for you!  Allianz Global Investors is seeking a qualified and motivated individual for the position of
Compliance Officer. The successful candidate will act as an intermediary between Portfolio Management,
Trading, and Operations to ensure that portfolios are compliant with all investment restrictions and the firm’s
applicable policies and procedures.



  • Work within the investment portfolio compliance team to electronically via Bloomberg AIM Compliance
  • Manager monitor compliance with all regulatory requirements and the investment guidelines of the firm’s separately managed portfolios and mutual funds
  • Participate in the coding of client investment guidelines and regulatory requirements in the Bloomberg system.
  • Communicate guideline/trading issues to individuals across the company including Portfolio
  • Management, Trading, Operations and Client Account Managers.
  • Conduct ongoing reviews of the firm’s institutional accounts to ensure compliance with client guidelines.
  • Investigate compliance issues as needed and report findings back to department managers.
  • Perform general compliance and operational risk related functions as instructed.
  • Participate in various legal and compliance projects (regional and global).


Key Requirements/Skills/Experience:

  • Minimum of 3 years of securities and/or asset management
  • Minimum of 2 years of Bloomberg CMGR coding experience or on other similar compliance monitoring systems (e.g. Charles River Development)
  • Computer proficient including Microsoft Office Suite
  • This position requires flexible workings hours (as early as 6:00AM and as late as 6:00PM PT)


  • BS or BA
  • Experience in implementing systems and processes
  • Intermediate or advance MS Excel skills include Pivot tables, V-Lookup formulas
  • Detail oriented
  • Ability to work independently and as part of a team
  • Excellent written and verbal communication skills
  • Ability to prioritize effectively and meet both fixed and shifting deadlines

About Allianz Global Investors

Allianz Global Investors is a leading active asset manager with over 690 investment professionals in 23 offices worldwide and managing EUR 633 billion in assets for individuals, families, and institutions[1].

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.


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.

[1] Data as at 30 June 2021

Active is: Allianz Global Investors


Nearest Major Market: Manhattan
Nearest Secondary Market: New York City