Compliance Manager

At Allianz Global Investors, we foster professionalism, fulfilment, and an inclusive environment. Do you want to be part of a leading active asset management company? Join us as a Compliance Manager in Hong Kong within the Investment Compliance team.

The Investment Compliance team in Asia Pacific (AP) is based in Hong Kong and is responsible for executing a global compliance program that includes advisory, training, monitoring, and reporting for investment activities across research, portfolio management, trading, and pricing.

The team collaborates closely to harmonize policies, address cross-border issues, and manage compliance risks related to traditional assets such as equities, fixed income, derivatives, foreign exchange, and multi-asset investments. Some of the compliance risks covered by the team include best execution, market abuse, fair allocations, cross-trades, and guideline coding and monitoring.

The AP Investment Compliance team forms a key part of the Global Investment Advisory Compliance Team and works closely with the other Compliance and Legal teams in AP to ensure compliance with Group policies and standards, Asian regulatory requirements, client needs, and industry standards.

Jurisdictions covered in Asia include Taiwan, mainland China, Japan, Singapore, Hong Kong, and Indonesia.

What You Do:

• Contribute to ensure that all AllianzGI's activities in the AllianzGI AP offices satisfy all regulatory requirements within the Investment Compliance areas, as well as any other applicable requirements.
• Create, implement, and maintain policies, procedures, and controls which are appropriately designed to ensure compliance with applicable laws and regulations as well as internal policies.
• Provide guidance, advice, and training to staff members related to Investment Compliance matters.
• Review and analyse pre-trade requests on cross trades, order cancellation, and material order modification and same day buy/sell (day trading).
• Perform compliance monitoring activities within the Investment Compliance area, including but not limited to best execution, market abuse, insider dealing, cross-trades, and fair allocations.
• Report findings and violations detected during the performance of investment compliance monitoring activities.
• Analyse and escalate complex trade errors and market abuse cases, guiding investigations and corrective measures.
• Collaborate with the Global Sanctions Coordinator for investments on the economic sanction matters which may impact the investment and trading activities in the AllianzGI AP offices.
• Support guideline coding, review of pre-trade guideline breach alerts, and the analysis and follow-up of post-trade guideline breaches.
• Perform outsourcing controlling activities within the Investment Compliance area as needed.
• Lead or participate in internal compliance reviews.
• Prepare and present (regularly and ad hoc, where needed) clear and concise compliance reports to senior management as well as prepare and submit compliance reports to external clients.
• Undertake tasks as directed related to audits, reviews, and examinations.
• Review and analyse new regulatory developments and maintain oversight of developments impacting business activities.
• Provide guidance and training to staff on Investment Compliance matters, promoting a culture of compliance and continuous improvement.
• Build strong partnerships with local investment professionals to ensure effective compliance integration.
• Develop and maintain a strong relationship and partnership with the Investment Compliance colleagues in Asia, Europe, and the United States, as well as with local colleagues in other Compliance and Legal teams.

What You Bring:

Required:

• University degree in law, business management, or similar.
• 6+ years' experience in the financial industry with a focus in asset management, namely in governance functions such as Legal & Compliance, Risk Management, and/or Internal Audit, predominantly focused on portfolio management and trading compliance matters such as best execution and market abuse.
• Candidate with less experience will be considered as Compliance Officer.
• A sound understanding of the current issues affecting the financial services and asset management industry, combined with sound knowledge of the operational and regulatory frameworks from a Compliance perspective.
• Working knowledge of Bloomberg is preferred.
• Experience with investment guidelines coding is preferred, but not essential.
• Understanding of regulations, their interpretation, and practical application.
• Comprehensive knowledge of financial instruments, derivatives, and investment strategies.
• Experience interpreting and implementing lessons learned from regulatory sanctions.
• Strong verbal and written communication skills in both English and Chinese.
• 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 global matrix and multi-cultural work environment in which the candidate was a member of a team where his/her team members and/or manager were located.

What We Offer:

• "New Normal", it's not news to us: As a global company, we've known the hybrid model before it was 'in'. Work flexibly according to internal guidelines (e.g., hybrid model/ flexible working hours).
• Investments for the future: Access to pension/ savings plans/ Allianz products.
• Shared success: Company share purchasing plan.
• Support for what matters: Mental health and wellbeing programs.
• Investments in your career: Career opportunities within the entire Allianz Group.
• Investments in your skills: Comprehensive learning and development offerings, including certifications and professional qualifications.
• … and so much more

About Allianz Global Investors:

Allianz Global Investors is a leading global active asset manager.

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

Putting our clients' needs first, behaving in a transparent way and treating people fairly means acting with integrity. We encourage a collegial culture that supports individual responsibility. We invest in the development of our employees to maximize the power of innovation.

We at Allianz believe in a diverse and inclusive workforce; we are committed to the principles of Equal Employment Opportunity and to helping applicants with any disabilities. We encourage you to bring your whole self to work, 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. Great to have you on board.

If you feel inspired to promote the active asset management experience, this is the place for you. Join our diverse, international, technology-enabled, and agile environment. Simply upload your CV in English to apply for this position If you need support to navigate our websites or at any stage during your application, please send an email with your request to recruiting@allianzgi.com.