Compliance Manager (f, m, d) in Frankfurt or London

Allianz Global Investors
  • Função

    The European Head of Investment Advisory Compliance is seeking a senior compliance professional to join the European Compliance team, which is responsible for implementing and executing a pan-European compliance program (advisory, training, monitoring and reporting) for the company's investment related activities in Europe and is part of a global team that works in close collaboration on policies, training, monitoring, and resolving cross-border issues related to the firm's investment related activities.

  • Responsabilidades

    ## The compliance manager will be expected to work closely with the global Legal and Compliance team to provide senior expert advice in regards to portfolio management, trading, pricing, and market abuse compliance matters across Europe, particularly for the investment professionals, traders, and back/middle office colleagues involved in strategies invested in liquid instruments (e.g. equities, fixed income, derivatives, fx), but occassionally collaborating with compliance and legal professionals to provide support to the illiquids investment platform (e.g. infrastructure debt, infrastructure equity, corporate loans, private equity, real property assets). ~crlf~## He/she will be required to support or lead Compliance projects, represent Compliance on company initiatives, and to provide local Investment Advisory Compliance support to his/her local office. ~crlf~## Draft, implement, and evaluate the adequacy and effectiveness of AllianzGI’s policies, procedures and internal controls.~crlf~## Implement reviews and monitoring processes with respect to the investment, trading, and valuation activities of the liquid investment strategies. ~crlf~## Stay abreast of industry practices and regulatory matters within the investment advisory space. ~crlf~## Be responsible for contributing to the development and delivery of regular and ad hoc compliance training on matters within the investment advisory space.~crlf~## Investigate compliance issues as needed and report findings back to management.~crlf~## Perform general compliance related functions as instructed.~crlf~## Support or lead the management of responses to inquiries and audits by internal and external auditors, depositories/trustees/clients, and regulators.

  • Requisitos / Habilidades

    ## Several years of relevant compliance or legal experience, preferably within asset management and specifically dealing with trading, market abuse, and/or pricing related issues.~crlf~## Sound knowledge of European financial regulations, including MIFID, MAR, AIFMD, UCITS, as well as local regulations of UK or Germany (depending on location of candidate). Knowledge of other local european regulatory requirements would be a plus. ~crlf~## Fluent spoken and written English and German.~crlf~## Working knowledge of Bloomberg. Experience with Transaction Cost Analysis tools a plus.~crlf~## Diligent and attention to detail, with strong analytical skills~crlf~## Strong verbal and written communication skills~crlf~## Ability to take initiative, work under pressure, and meet deadlines~crlf~## 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~crlf~## Ability to adapt to a fast changing environment, understand complex issues quickly, to explain them clearly and concisely, and propose practical solutions~crlf~## 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.

  • Sobre a Allianz

    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 88 million private and corporate customers and more than 140,000 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~

Função

The European Head of Investment Advisory Compliance is seeking a senior compliance professional to join the European Compliance team, which is responsible for implementing and executing a pan-European compliance program (advisory, training, monitoring and reporting) for the company's investment related activities in Europe and is part of a global team that works in close collaboration on policies, training, monitoring, and resolving cross-border issues related to the firm's investment related activities.

Responsabilidades

## The compliance manager will be expected to work closely with the global Legal and Compliance team to provide senior expert advice in regards to portfolio management, trading, pricing, and market abuse compliance matters across Europe, particularly for the investment professionals, traders, and back/middle office colleagues involved in strategies invested in liquid instruments (e.g. equities, fixed income, derivatives, fx), but occassionally collaborating with compliance and legal professionals to provide support to the illiquids investment platform (e.g. infrastructure debt, infrastructure equity, corporate loans, private equity, real property assets). ~crlf~## He/she will be required to support or lead Compliance projects, represent Compliance on company initiatives, and to provide local Investment Advisory Compliance support to his/her local office. ~crlf~## Draft, implement, and evaluate the adequacy and effectiveness of AllianzGI’s policies, procedures and internal controls.~crlf~## Implement reviews and monitoring processes with respect to the investment, trading, and valuation activities of the liquid investment strategies. ~crlf~## Stay abreast of industry practices and regulatory matters within the investment advisory space. ~crlf~## Be responsible for contributing to the development and delivery of regular and ad hoc compliance training on matters within the investment advisory space.~crlf~## Investigate compliance issues as needed and report findings back to management.~crlf~## Perform general compliance related functions as instructed.~crlf~## Support or lead the management of responses to inquiries and audits by internal and external auditors, depositories/trustees/clients, and regulators.

Requisitos / Habilidades

## Several years of relevant compliance or legal experience, preferably within asset management and specifically dealing with trading, market abuse, and/or pricing related issues.~crlf~## Sound knowledge of European financial regulations, including MIFID, MAR, AIFMD, UCITS, as well as local regulations of UK or Germany (depending on location of candidate). Knowledge of other local european regulatory requirements would be a plus. ~crlf~## Fluent spoken and written English and German.~crlf~## Working knowledge of Bloomberg. Experience with Transaction Cost Analysis tools a plus.~crlf~## Diligent and attention to detail, with strong analytical skills~crlf~## Strong verbal and written communication skills~crlf~## Ability to take initiative, work under pressure, and meet deadlines~crlf~## 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~crlf~## Ability to adapt to a fast changing environment, understand complex issues quickly, to explain them clearly and concisely, and propose practical solutions~crlf~## 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.

Sobre a Allianz

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 88 million private and corporate customers and more than 140,000 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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A Allianz Global Investors é uma das principais gestoras de ativos, operando em 25 escritórios em todo o mundo. (Inglês)