Senior Compliance Officer

  • Competitive
  • London, England, Großbritannien
  • Festanstellung, Vollzeit
  • Allianz Global Investors GmbH, UK Branch
  • 25 Jan 18 2018-01-25

We are seeking to hire an experienced Senior Compliance Officer for our Investment Compliance function. This role will be responsible for implementing and executing our pan-European compliance program (advisory, training, monitoring and reporting) related to trading, portfolio management and research.

In this role, your main responsibilities will be on the following areas.


1.Be part of a European team that provides advisory support to all European in-vestment professionals at AllianzGI with specific focus on the business in London.
2.You will be expected to be a senior guide across all asset classes on the following topics:
•To advise and assist the Investment division on a wide range of Investment related compliance matters, acting as a trusted advisor to the business within AllianzGI.
•To advise on trading related matters such as best execution, cross-trading, trade aggregations, and equitable allocations.
•To advise on market abuse matters, including insider dealing, market manipulation, and market soundings.
•To provide broader senior compliance Investment advice as and when required to senior Investment staff across Europe.

3. To keep abreast of local UK industry practices and regulatory approach to the above related subject matters and participate in related industry working groups.


1.Coverage of global industrial issuers in both investment grade and high yield. Exact sector allocation will depend on your expertise.
2.The role involves a highly dedicated relationship with Portfolio Managers with analysts expected “to own” their risk and aid in the construction of risk portfolios to match macro-economic, structural, secular and cyclical themes deriving from the coverage.
3.The analyst will be required to generate some written output, participate in regular meetings to discuss their coverage and recommendations and make presentations both internally and externally.
4.Identify broader macro themes through coverage for application in the group’s asset allocation process and risk budget more broadly in investment portfolios.


1.Be responsible for contributing to the development and delivery of regular and ad hoc compliance training on investment compliance matters


1.Provide relevant updates for Group Board reports and relevant AllianzGI Committees. Such would include the responses to relevant regulatory enquiries as directed.


1.Your role will also include running certain investment compliance projects (driven either by business or regulatory initiatives) and being the compliance representative on transversal company projects.

Key Requirements/Skills & Knowledge

•Large international asset manager experience, whether through employment, audit, or consulting. Substantive experience in Asset Management, and experience in Portfolio Management and Trading related Compliance matters.
•Strong oral and written communication skills.
•Confirmed ability to initiate and drive projects to completion.
•Proven ability to handle senior management relations and internal stakeholders.
•Broad technical (markets and regulatory) knowledge, including MIF, MAD II/MAR UCITS, AIFMD, EMIR.
•Trade monitoring and surveillance experience.
•Strong self-management skills and discipline – ability to take direction as well as take initiative and get things done under pressure and tight deadlines, while providing complete clarity to managers and other team members.
•Teammate and ability to build positive relationships internally and externally.
•Experience with Bloomberg AIM and related compliance and audit modules.
•Experience in diverse asset classes, experience and/or knowledge in derivatives, fixed income and alternatives would be a plus.
•Familiarity with good practice in Investment risk management approaches and concepts is an advantage.