Regulatory Expertise Specialist

1 week ago

Hong Kong, Central and Western District, Hong Kong SAR China Allianz Popular SL. Full time

We at Allianz Global Investors are dedicated to fostering a work environment that values professionalism, fulfilment, and inclusivity. If you're passionate about contributing to a leading active asset management company, consider joining our team as a Financial Compliance Specialist in Hong Kong within the Investment Compliance department.

The Investment Compliance department in Asia Pacific (AP) is based in Hong Kong and focuses on implementing a global compliance program that includes advisory services, 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.

  • Develop and maintain a comprehensive understanding of current issues affecting the financial services and asset management industry, combined with a deep knowledge of the operational and regulatory frameworks from a Compliance perspective.
  • Collaborate with colleagues to create and implement policies, procedures, and controls that ensure compliance with applicable laws and regulations, as well as internal policies.
  • Provide guidance, advice, and training to staff members on Investment Compliance matters.
  • 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 economic sanction matters that may impact the investment and trading activities in the 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 clear and concise compliance reports to senior management and 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.

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