Compliance Manager

Join us now as Compliance Manager in Hong Kong within the Investment Compliance team. In this role, you will be responsible for executing a global compliance program that includes advisory, training, monitoring, and reporting for investment activities across research, portfolio management, trading, and pricing.
The team collaborates closely to harmonize policies, address cross-border issues, and manage compliance risks related to traditional assets such as equities, fixed income, derivatives, foreign exchange, and multi-asset investments. Some of the compliance risks covered by the team include best execution, market abuse, fair allocations, cross-trades, economic sanctions and guideline coding and monitoring.
The AP Investment Compliance team forms a key part of the Global Investment Advisory Compliance Team, the Global Investment Guideline Management team and works closely with the other Compliance and Legal teams in AP to ensure compliance with Group policies and standards, Asian regulatory requirements, client needs and industry standards.
Jurisdictions covered in Asia include Taiwan, mainland China, Japan, Singapore, Hong Kong and Indonesia.
What You Do
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Ensure all AllianzGI AP activities comply with relevant investment regulations and internal policies.
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Develop, implement, and maintain compliance policies, procedures, and controls.
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Provide guidance and advise on Investment Compliance matters.
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Review market abuse control and analyse pre-trade requests, including cross trades, large-volume orders, cancellations, material changes, and day trading.
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Conduct compliance monitoring, covering best execution, market abuse, insider dealing, cross-trades, and fair allocation.
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Analyse and escalate complex trade errors or market abuse cases, guiding investigations and resolutions.
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Evaluate economic sanctions affecting investment and trading in AllianzGI AP offices.
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Support guideline coding, and monitor pre- and post-trade breach alerts and follow-ups.
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Perform compliance oversight of outsourcing activity as required.
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Lead or participate in internal compliance reviews and audits.
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Prepare and deliver compliance reports to management and clients as necessary.
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Monitor and assess new regulatory developments impacting business activities.
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Foster a strong compliance culture through guidance and training.
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Collaborate closely with local and regional compliance, legal, and investment teams globally.
What You Bring
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University degree in law, business management, or a related field.
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Over 7 years’ financial industry experience focusing on asset management governance, including Legal & Compliance, Risk Management, or Internal Audit, with an emphasis on portfolio management and trading compliance (best execution, market abuse).
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Candidates with less experience may be considered for Assistant Vice President / Compliance Officer roles.
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Strong understanding of financial services and asset management issues; familiarity with operational and regulatory frameworks from a Compliance perspective.
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Preferred: working knowledge of Bloomberg AIM and experience coding investment guidelines.
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Skilled in regulations, interpretation, practical application, and knowledgeable about financial instruments, derivatives, and investment strategies.
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Experience applying lessons from regulatory sanctions.
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Excellent English and Chinese communication skills.
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Initiative, analytical skills, ability to manage deadlines.
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Collaborative team player who builds relationships and supports a strong compliance culture.
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Flexible in fast-paced environments, able to explain complex issues clearly and offer practical solutions.
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Experience in global, multicultural teams.
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AI Skills: CoPilot, ChatGPT, AI and Machine Learning
What We Offer
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Balanced work environment: A dynamic office culture that supports flexibility and collaboration
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Secure your future: Access to pension, retirement, and/or savings plans as applicable to the work location
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Shared success: Company share purchasing plan
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Support for what matters: Mental health and wellbeing programs
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Investments in your career: Career opportunities within the entire Allianz Group
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Investments in your skills: Comprehensive learning and development offerings, including certifications and professional qualifications
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… and so much more!
About Allianz Global Investors 
Allianz Global Investors is a leading active asset manager, managing assets for individuals, families, and institutions worldwide. Our goal is to actively shape the future of investing for all our clients, wherever their location and whatever their objectives. 
Allianz Group is one of the most trusted insurance and asset management companies in the world. Caring for our employees, their ambitions, dreams and challenges, is what makes us a unique employer. Together we can build an environment where everyone feels empowered and has the confidence to explore, to grow and to shape a better future for our customers and the world around us.  
At Allianz, we stand for unity: we believe that a united world is a more prosperous world, and we are dedicated to consistently advocating equal opportunities for all. And the foundation for this is our inclusive workplace, where people and performance both matter, and nurtures a culture grounded in integrity, fairness, inclusion and trust. 
We therefore welcome applications regardless of ethnicity or cultural background, age, gender, nationality, religion, social class, disability or sexual orientation, or any other characteristics protected under applicable local laws and regulations. 
If you feel inspired to promote the active asset management experience, this is the place for you. Join our 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 recruiting@allianzgi.com 
To Recruitment Agencies
Allianz Global Investors has an in-house recruitment team that sources great candidates directly. Therefore, Allianz Global Investors does not accept unsolicited resumes from agency or search firm recruiters. 
When we do work with recruitment agencies, that engagement is formalized by a contract. Fees will only be paid when there is a contract in place. 
Without a contract in place, we will not accept invoices on unsolicited resumes, even if the candidate was ultimately employed by Allianz Global Investors. 
Finally, please do not contact hiring managers directly. 
93732 | Legal & Compliance | Professional | n.a. | Allianz Global Investors | Full-Time | Permanent