Investment Governance Expert
6 days ago
About the Position
Allianz Global Investors seeks an experienced Regulatory Compliance Specialist to join its Investment Compliance team in Asia Pacific. The successful candidate will be responsible for ensuring compliance with regulatory requirements and internal policies across various aspects of investment activities.
Your Key Responsibilities
- Design and implement robust policies, procedures, and controls to ensure compliance with regulatory requirements and internal policies.
- Deliver expert guidance, advice, and training to staff members on Investment Compliance matters.
- Conduct thorough reviews and analyses of pre-trade requests, identifying potential risks and developing mitigation strategies.
- Implement and maintain effective compliance monitoring activities, including regular reporting and analysis of compliance data.
- Identify and address compliance risks, including best execution, market abuse, insider dealing, cross-trades, and fair allocations.
- Analyse and escalate complex trade errors and market abuse cases, providing recommendations for investigation and corrective action.
- Collaborate with the Global Sanctions Coordinator to ensure effective management of economic sanctions impacting investment and trading activities.
- Support the development and implementation of guideline coding and review processes.
- Perform outsourcing controlling activities and lead or participate in internal compliance reviews as required.
- Present clear and concise compliance reports to senior management and external clients, ensuring timely and accurate submissions.
- Undertake various tasks related to audits, reviews, and examinations, as directed.
- Stay up-to-date with new regulatory developments and maintain oversight of their impact on business activities.
- Promote a culture of compliance and continuous improvement through guidance and training to staff members.
- Build strong partnerships with local investment professionals to ensure effective compliance integration.
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