AP Head of Investment Compliance

Leadingnation
CA - Saskatchewan - Moose Jaw
November 20, 2024
Management

Join us.
Let's care for tomorrow.

At Allianz Global Investors we foster a culture of professionalism, fulfilment, and an inclusive working environment.
Do you want to be part of a leading active asset management company? Then join us now as AP Head of Investment Compliance in Hong Kong.

The AP Head of Investment Compliance will lead the Investment Compliance team in the Asia-Pacific (AP) region, ensuring that all investment compliance activities meet regulatory requirements and internal policies, and also act as a strategic partner to the business, fostering a corporate culture where compliance is integrated into the AP investment activities.

The AP Investment Compliance team is responsible for implementing a globally standardized compliance program in the AP region that includes advising, training, monitoring, and reporting on compliance matters related to the research, portfolio management, and trading activities of our equity, fixed income and multi-asset investment teams, such as best execution market abuse, fair allocations, cross-trades, and guideline coding and monitoring.

As part of the Global Investment Advisory Compliance Team and the Global Investment Guideline Management team, the AP Investment Compliance team collaborates with colleagues in other regions and from other Compliance and Legal teams, to ensure compliance with Group policies, Asian regulatory requirements, client needs, and local industry standards.
Jurisdictions covered in the AP region include:
Taiwan, mainland China, Japan, Singapore, Hong Kong, and Indonesia.

What You Will Do

Lead the AP Investment Compliance team, aligning local compliance efforts with business strategy and global priorities.
Develop and implement compliance programs that meet regulatory and internal requirements, including the analysis of compliance risks, overseeing the provision of advice and training, and the effective execution of a monitoring plan.
Act as a senior advisor to global and regional management on compliance issues.
Oversee the investigations and corrective actions for complex breaches, trade errors, and market abuse cases.
Guide the establishment of compliance infrastructure for new AP offices, ensuring alignment with AllianzGI Group and regulatory standards.
Train staff on Investment Compliance matters and promote a strong culture of compliance.
Build partnerships with regional CIOs, Heads of Trading, and other Senior Investment Leaders.
Collaborate with Investment Compliance colleagues in Europe and the U.S., as well as local colleagues in other Compliance and Legal teams.
Ensure the timely and diligent preparation of compliance reports for senior management, boards, and clients.
Lead audits, reviews, and examinations related to Investment Compliance.
Oversee the interpretation, coding, and monitoring of investment guidelines.

What You Bring

University degree in Law, Business Administration or a related field.
10+ years in the financial industry, especially in asset management, with a focus on Compliance, Risk Management, Legal, or Internal Audit related to portfolio management and trading compliance matters including best execution, market abuse, and investment guidelines.
Excellent English communication skills; proficiency in Mandarin Chinese is crucial.
In-depth understanding of regulations and practical applications.
Comprehensive knowledge of financial instruments, derivatives, and investment strategies.
Experience with investment guidelines coding.
Familiarity with regulatory enforcement actions and lessons learned.
Strong analytical abilities, attention to detail, and capability to work under pressure.
Proven leadership and team management skills in a global, multicultural context.
Strong relationship-building skills to enhance compliance culture.
Ability to address complex issues with practical solutions.
Experience working in a global matrix organization.

What We Offer

Flexible working from home and abroad according to internal guidelines (hybrid model/ flexible working hours/cross-border remote work).
Access to pension/ savings plans/ Allianz products.
Family support (relocation/ childcare facilities).
Company share purchasing plan.
Mental health and wellbeing programs.
Mobility solutions (Jobrad bike leasing, subvention Jobticket).
Career opportunities within the entire Allianz Group.
Self-guided learning & development.
… and so much more!

About Allianz Global Investors

Allianz Global Investors is a leading global active asset manager.

We invest for the long term and want to create value for clients every step of the way.
We do this by being active - in how we partner with clients and anticipate their needs, and build solutions based on capabilities across public and private markets.
Our focus on enhancing our clients' assets leads naturally to a commitment to sustainability for positive change.
Our goal is to enhance the investment experience for clients, whatever their location or goals.

Putting our clients' needs first, behaving in a transparent way and treating people fairly means acting with integrity.
We encourage a collegial culture, that supports individual responsibility.
We invest in the development of our employees to maximize the power of innovation.

We at Allianz believe in a diverse and inclusive workforce, we are committed to the principles of Equal Employment Opportunity and to helping applicants with any disabilities.
We encourage you to bring your whole self to work, no matter where you are from, what you look like, who you love or what you believe in.
We therefore welcome applications regardless of ethnicity or cultural background, age, gender, nationality, religion, disability or sexual orientation.
Great to have you on board.

If you feel inspired to promote the active asset management experience, this is the place for you.
Join our diverse, international, technology-enabled, and agile environment.
Simply upload your CV in English to apply for this position! If you need support to navigate our websites or at any stage during your application, please send an email with your request to [via CTgoodjobs ].
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Read the full job description and apply online on the recuiter's web-site

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