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Team Head - Portfolio & Trading Compliance

Job Level:  Management

New York, NY, US, 10019

Due Date:  1/12/2022
Area of Expertise:  Legal & Compliance
Unit:  Allianz Global Investors
Job Type:  Full-Time
Remote Job:  Not applicable
Employment Type:  Permanent
ID:  4045

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.


Job Summary

The Global Head of Investment Advisory Compliance (“IAC”) is seeking a Team Head - Portfolio & Trading Compliance 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.  We cover such topics as best execution, market abuse, cross-trades, fair allocations, and soft dollars.  The regional teams work 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 US IAC 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.


•    Lead the local US IAC team
•    Support the Global Head of Investment Advisory Compliance and the US General Counsel in building a strong culture of compliance across the investment platform.
•    Provide compliance advice to US investment professionals, working closely with the other Legal and Compliance team members.  
•    Oversee the execution of the IAC compliance monitoring plan, as well as ad hoc  reviews with respect to the investment, trading, and valuation activities of the traditional asset strategies. 
•    Lead local and global IAC projects; represent IAC on company initiatives. 
•    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.
•    Lead the regular evaluation of the US investment related compliance risks and the adequacy and effectiveness of AllianzGI’s policies, procedures and internal controls.
•    Lead the drafting and implementation of policies, procedures, and controls.
•    Be responsible for contributing to the development and delivery of regular and ad hoc compliance training on IAC matters.
•    Investigate compliance issues as needed and report findings back to the Global Head of Investment Advisory Compliance and management.
•    Perform general compliance and operational risk related functions as instructed.
•    Support or lead the management of responses to inquiries and audits by internal and external auditors, depositories/trustees/clients,and regulators.
•    Perform general compliance and operational risk related functions as needed.
•    Stay abreast of IAC related industry practices and regulatory matters.


•    BS/BA
•    8+ years of relevant compliance, operational risk, or legal experience, preferably within the asset management industry.  Including:
•    Minimum 5 years dealing with trading and market abuse related issues, 
•    Minimum 2 years of team management experience.
•    Minimum 3 years of experience with Adviser’s Act and Investment Company Act compliance
•    Full knowledge of the Adviser’s Act and Investment Company Act.
•    Knowledge and experience with all traditional strategies (equity, fixed income and multi-asset).
•    Knowledge of derivatives and CFTC / NFA requirements 
•    Experience implementing systems and processes is necessary
•    Working knowledge of Bloomberg
•    Experience interpreting and implementing economic sanctions 
•    Diligent and attention to detail, with strong analytical skills
•    Strong verbal and written communication skills
•    Ability to take initiative, work under pressure, and meet deadlines
•    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
•    Ability to adapt to a fast changing environment, understand complex issues quickly, to explain them clearly and concisely, and propose practical solutions
•    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.


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. 
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 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.

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