Compliance Manager Professional
5 days ago
About the Role
We are seeking a highly skilled Compliance Manager to join our team at Allianz Global Investors. As a key member of our Investment Compliance team, you will be responsible for ensuring that all our activities in the Asia Pacific offices satisfy all regulatory requirements within the Investment Compliance areas, as well as any other applicable requirements.
Your Responsibilities
- 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.
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