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Compliance Manager

Join us. Let's care for tomorrow.

At Allianz Global Investors our people enjoy motivating, fulfilling careers. If you are looking for an agile working environment, you are resolved to cultivate and expand your talents and relish a challenge, join us now!

We are looking for you! We are currently hiring a Compliance Manager. This position is based in New York.

Allianz Global Investors US Holdings LLC and Allianz Capital Partners of America (collectively, "AllianzGI") are seeking a Compliance professional to support their diverse US business operations, which include a growing private markets investment advisory platform, as well as a public market trading desk and credit research analysts that support the global Allianz Global Investors business.

The US Compliance team is responsible for implementing and executing the compliance program (advisory, training, monitoring, and reporting) for the company's activities to ensure compliance with US SEC and other regulatory requirements, Allianz Group standards, clients' needs, and industry best practice. The team works in close collaboration with one another as well as their global colleagues in Europe and Asia on harmonizing policies, training, monitoring, and resolving cross-border issues.

Base salary will range from approximately $100k-$175k, based on prior experience and qualifications. Merit-based variable compensation awarded would be in addition to the base salary.

What you will do

  • Support the US CCO and the US General Counsel in building a strong culture of compliance across the investment platform and our US operations, while covering topics such as personal account dealing, outside business activities, gifts and entertainment, pre-trade approvals, cross-trades, inside information, trade errors, best execution, soft commissions, and conflicts of interest to US employees
  • Support local and global projects, including company initiatives
  • Evaluate the adequacy and effectiveness of company policies, procedures, and internal controls; this includes support for the annual compliance testing and review process mandated by SEC Rule 206(4)-7
  • Support the drafting and implementation of policies, procedures, and controls
  • Execute testing, reviews, and monitoring processes with respect to the private market investments, as well as public markets trading activities
  • Contribute to the development and delivery of compliance trainings
  • Investigate compliance issues as needed
  • Support the preparation of US specific regulatory reporting (e.g. Form ADV) and support on regulatory exams or other inquiries
  • Perform general compliance 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
  • Stay abreast of industry practices and regulatory matters

What you bring

  • BS/BA
  • Ideally 3+ years of relevant compliance, operational risk, or legal experience, preferably within the asset management industry
  • Knowledge of the regulatory environment applicable to US registered investment advisers, including but not limited to the Investment Advisers Act of 1940
  • Knowledge of private markets/alternative investment strategies is a plus
  • Diligent approach with attention to detail and strong analytical skills
  • Strong verbal and written communication skills
  • Desire to contribute and make a meaningful impact in helping drive the business forward in a forward-looking but regulatory compliant manner
  • 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

What we offer

  • Flexible working from home & abroad (hybrid mode/ flexible working hours & occasional cross-border remote work)
  • Access to pension/ savings plans
  • Company shares purchasing plan
  • Mental health and wellbeing programmes
  • Development opportunities at both AllianzGI & Allianz Group
  • Web shop discounts
  • Onboarding training/continuous learning during programme/programme graduation incl. project presentation
  • … and so much more!

About Allianz Global Investors

AllianzGI is an inclusive organization and together we want to build an environment where everybody feels welcome and accepted no matter where you are from, what you look like, who you love or what you believe in. We therefore welcome applications regardless of ethnicity or cultural background, age, gender, nationality, religion, disability or sexual orientation.

We invest for the long term and seek to generate value for clients every step of the way. We do this by being active – in how we partner with clients and anticipate their changing needs, and build solutions based on capabilities across public and private markets. Our focus on protecting and enhancing our clients' assets leads naturally to a commitment to sustainability to drive positive change. Our goal is to elevate the investment experience for clients, whatever their location or objectives.

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 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 the principles of Equal Employment Opportunity and to providing assistance to applicants with physical and/or mental disabilities. If you need support to navigate our websites or to complete your application, please send an e-mail with your request to recruiting@allianzgi.com.
26599 | Legal & Compliance | Professional | n.a. | Allianz Global Investors | Full-Time | Permanent

Job Level:
Professional
Location:
New York, NY, US, 10019
Available until:
06/28/2023
Area of Expertise:
Legal & Compliance
Unit:
Allianz Global Investors
Employing Entity:
AllianzGI US Holdings LLC
Job Type:
Full-Time
Remote Job:
Hybrid working
Employment Type:
Permanent
ID:
26599
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CEO of Allianz Global Investors
Allianz Global Investors CEO photo
Tobias Pross
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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 integrit...

4 jobs
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DATE POSTED
June 10, 2023

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