Compliance Officer

Allianz Global Investors
  • Função

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

  • Responsabilidades

    • The IC team orientated professional will be expected to work closely with the regional/global Investment Compliance team to provide advice in regards to portfolio/regulatory guideline/restrictions, trading, across AP, 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), and often collaborating with compliance and legal professionals to provide solutions for our business partners. ~crlf~• Portfolio Compliance monitoring using Bloomberg, including coding of investment restrictions, pre-trade and post trade monitoring (Shift Monitoring 730am, 9am or 1030am)~crlf~• Trade surveillance monitoring~crlf~• Disclosure of Interests monitoring and reporting~crlf~• Review and production of reports to external clients, internal clients and regulators~crlf~• Harmonize, implement, review and maintain global and regional policies for AP offices~crlf~• Provide advice to businesses on relevant regulatory and policy requirements applicable to AP offices ~crlf~• Perform compliance testing as identified in the Compliance Program. Areas may include, but not limited to proxy voting, soft dollars, best execution, fair allocation, insider dealing and etc.~crlf~• Provide training to relevant teams relating to regulations and internal policies~crlf~• Provide back-up portfolio compliance support to Singapore and Japan office~crlf~• Support the Vice President, AP Investment Compliance in liaising with other offices on regular and ad-hoc investment compliance issues or projects • Candidates with less relevant experience might be considered for AVP

  • Requisitos / Habilidades

    • Over +4 years of solid Investment Compliance experience in asset management~crlf~• Team player and willing to share and transfer knowledge~crlf~• Assertive~crlf~• Stakeholder management

  • Informações adicionais

    CPA/ CFA/ FRM preferred

  • 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 the asset management subsidiary of Allianz SE. We are one of the world’s leading active asset managers with over 600 investment professionals in 25 offices worldwide, managing more than EUR 500 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 Asia Pacific Investment Compliance team is seeking a compliance professional to join team, which is responsible for implementing and executing AP compliance program (advisory, training, coding, monitoring and reporting) for the company's investment related activities AP and is part of a global team that works in close collaboration on policies, training, monitoring, and resolving issues related to the firm's investment related activities.

Responsabilidades

• The IC team orientated professional will be expected to work closely with the regional/global Investment Compliance team to provide advice in regards to portfolio/regulatory guideline/restrictions, trading, across AP, 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), and often collaborating with compliance and legal professionals to provide solutions for our business partners. ~crlf~• Portfolio Compliance monitoring using Bloomberg, including coding of investment restrictions, pre-trade and post trade monitoring (Shift Monitoring 730am, 9am or 1030am)~crlf~• Trade surveillance monitoring~crlf~• Disclosure of Interests monitoring and reporting~crlf~• Review and production of reports to external clients, internal clients and regulators~crlf~• Harmonize, implement, review and maintain global and regional policies for AP offices~crlf~• Provide advice to businesses on relevant regulatory and policy requirements applicable to AP offices ~crlf~• Perform compliance testing as identified in the Compliance Program. Areas may include, but not limited to proxy voting, soft dollars, best execution, fair allocation, insider dealing and etc.~crlf~• Provide training to relevant teams relating to regulations and internal policies~crlf~• Provide back-up portfolio compliance support to Singapore and Japan office~crlf~• Support the Vice President, AP Investment Compliance in liaising with other offices on regular and ad-hoc investment compliance issues or projects • Candidates with less relevant experience might be considered for AVP

Requisitos / Habilidades

• Over +4 years of solid Investment Compliance experience in asset management~crlf~• Team player and willing to share and transfer knowledge~crlf~• Assertive~crlf~• Stakeholder management

Informações adicionais

CPA/ CFA/ FRM preferred

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 the asset management subsidiary of Allianz SE. We are one of the world’s leading active asset managers with over 600 investment professionals in 25 offices worldwide, managing more than EUR 500 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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Nosso expediente de trabalho permite que nossos colaboradores possam conciliar vida pessoal e profissional. 
Você é encorajado a ampliar suas habilidades e criar uma carreira através de diferentes funções, países e entidades da Allianz.
Acesse nossos programas de aprendizagem digital a qualquer momento, em qualquer lugar e como você precisa. 
Faça parte de uma companhia verdadeiramente global e explore nosso ambiente internacional.
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Ingrid, Allianz SE


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A Allianz Global Investors é uma das principais gestoras de ativos, operando em 25 escritórios em todo o mundo.
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