Senior Compliance Analyst

Allianz Global Investors, U.S. Holdings LLC
San Diego, California
Salary dependent on experience.
Nov 29, 2018
Jan 28, 2019
Job Function
Industry Sector
Asset Management
Employment Type
Full Time

The position acts as an intermediary between Portfolio Management, Trading, and Operations to ensure that orders and executions are compliant with all investment restrictions and the firm’s applicable policies and procedures. 

  • Work within the investment portfolio compliance team to electronically (via Bloomberg AIM) and the firm’s own compliance engine (“IPMS”) monitor compliance with all regulatory requirements and the investment guidelines of the firm’s separately managed portfolios and mutual funds 
  • Participate in the coding if client investment guidelines and regulatory requirements in the Bloomberg and IPMS systems 
  • Communicate guideline/trading issues to individuals across the company including Portfolio Management, Trading, Operations and Client Services 
  • Conduct ongoing reviews of the firm’s institutional accounts to ensure compliance with client guidelines 
  • Investigate compliance issues as needed and report findings back to department managers 
  • Perform general compliance and operational risk related functions as instructed 
  • Participate in various legal and compliance projects both regional and global 


  • BS or BA 
  • Minimum of 3 years securities and/or asset management experience 
  • Minimum of 2 years Bloomberg CMGR coding experience or on other similar compliance monitoring systems (e.g. Charles River Development) 
  • Proficient in Microsoft Office Suite 
  • Flexible working hours (early as 6:00AM and as late as 6:00 PM PT) 


  • Experience in implementing systems and processes 
  • Intermediate or advance MS Excel skills to include V-Lookup formulas