Risk Management Advisor
1 week ago
About the Job
We are seeking a highly skilled Risk Management Advisor to join our Investment Compliance team at Allianz Global Investors. The successful candidate will be responsible for ensuring that all our activities in the Asia Pacific offices comply with relevant regulatory requirements and internal policies.
Your Key Responsibilities
- Develop and maintain comprehensive policies, procedures, and controls to ensure compliance with regulatory requirements and internal policies.
- Provide 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 strategies to mitigate them.
- 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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