Compliance Analyst

  • Base + Discretionary Bonus
  • San Francisco, CA, USA
  • Permanent, Full time
  • Allianz Global Investors
  • 15 Oct 18

The successful candidate will assist in all aspects of compliance with the Investment Company Act of 1940 (“1940 Act”) and the Investment Advisers Act of 1940 (“Advisers Act”) as well as specific fund restrictions for all open- and closed-end funds and separately managed institutional accounts.

Role and responsibilities:

• Respond to compliance due diligence questionnaires or complete compliance certifications;
• Assist with preparation  and ensuring the timely and accurate filing of all regulatory reports;
• Assist in the review of marketing materials and RFPs;
• Perform daily surveillance of e-communications for the adviser’s personnel;
• Help evaluate the adequacy and effectiveness of AllianzGI US’s policies, procedures and internal controls;
• Participate in the planning and execution of the annual review of policies and procedures;
• Participate in the harmonization of compliance procedures or process with AllianzGI US’s global affiliates;
• Investigate compliance issues as they arise. Escalate issues as appropriate to senior managers ;
• Perform general compliance and operational risk related functions as instructed; and
• Participate in compliance related projects as needed.

Experience, qualifications and skills:

• BS/BA preferred.
• A good understanding of the securities business 1-3 years.
• Good interpersonal skills and effective writing, analytical, and communication skills.
• General knowledge with the 1940 Act (interpreting 1940 Act fund and regulatory guidelines and restrictions). Knowledge of the Adviser’s Act a plus.

Allianz Global Investors is an Equal Opportunity Employer committed to providing equal employment opportunity without regard to an individual's race, color, religion, age, gender, sexual orientation, veteran status, national orgin or disability.  Allianz Global Investors hires and promotes individuals solely on the basis of their qualifications for the job to be filled.