Senior Compliance Analyst

Employer
Allianz Global Investors, U.S. Holdings LLC
Location
San Diego, California
Salary
Salary dependent on experience.
Posted
Nov 29, 2018
Closes
Jan 28, 2019
Job Function
Compliance/Regulatory
Industry Sector
Asset Management
Employment Type
Full Time
Education
Bachelors

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 

Required: 

  • 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) 

Preferred: 

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