Compliance Manager - Portfolio Management & Trading

Job description

At Allianz Global Investors, our people enjoy motivating, fulfilling careers. If you're looking for a fast-paced working environment and a new exciting career, then join us now! We're committed to giving our people - experienced and energetic professionals alike - the opportunities and experiences they seek to thrive and gain personal fulfilment.

The Global Head of Investment Advisory Compliance ("IAC") is seeking a Compliance Manager to support the US investment teams. 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 on such topics as best execution, market abuse, cross-trades, fair allocations, and soft dollars. The team works 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 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.

*Please note that we will consider those willing to relocate to San Diego.

Responsibilities:

• Support the Investment Advisory Compliance team and the US General Counsel in building a strong culture of compliance across the investment platform.
• Provide compliance advice to US investment professionals, particularly those teams based in San Diego.
• Lead or participate in local and global IAC projects; represent IAC on company initiatives.
• Evaluate the adequacy and effectiveness of AllianzGI's policies, procedures and internal controls.
• Support or lead the drafting and implementation of policies, procedures, and controls.
• Execute reviews and monitoring processes with respect to the investment, trading, and valuation activities of the traditional asset strategies.
• 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.

Required:

• BS/BA
• 7+ years of relevant compliance, operational risk, or legal experience within the asset management industry.
• At least 3 years dealing with trading and market abuse related issues.
• At least 3 years of experience with 40 act funds
• Full knowledge of the Adviser's Act and Investment Company Act.
• Knowledge and experience with fixed income and multi-asset strategies.
• Working knowledge of Bloomberg
• 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.

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.