Corporate Compliance Specialist - Investments - Minneapolis

Allianz Life - Minneapolis, MN (30+ days ago)3.9


This position is primarily responsible for performing various compliance oversight functions of Allianz Investment Management LLC (“AIM”), a registered investment adviser.
KEY RESPONSIBILITIESThoroughly review and understand client documents to identify applicable guideline restrictions needed to effectively oversee a client’s portfolio. Code, test and implement compliance rules derived from client guidelines, contracts, regulatory restrictions and internal mandates. Monitor and resolve (utilizing Bloomberg AIM) pre-trade and post-trade alerts for client portfolios. Regularly interact with Portfolio Managers and other staff to assist in resolving compliance-related issues. Work together with Portfolio Managers, Traders, and IT to resolve data and system issues. Provide support in gathering information needed to conduct reviews on the firm’s adherence with client investment guidelines and restrictions. Develop concise and accurate reports related to the Company’s compliance with client portfolio guidelines. Review initial contracts, guidelines and subsequent updates and provide feedback on the firm’s monitoring capabilities. ~crlf~~crlf~~crlf~Ensure that AIM’s employees comply with the requirements of AIM’s Code of Ethics, especially in regard to monitoring personal trading of these individuals via the StarCompliance system. ~crlf~~crlf~Conduct initial and annual training on the Code of Ethics. Develop and provide annual and ad hoc training to AIM employees regarding various aspects of the Compliance Program and specific policies and procedures. ~crlf~~crlf~Conduct review of AIM advertising materials to ensure it complies with various requirements, including but not limited to, Rule 206(4)-1 under the Advisers Act.~crlf~~crlf~Monitor the regulatory environment for any changes in regulations that would affect AIM. Read and analyze any new rules and suggest ways in which AIM and/or its subadvisors and third party money managers would need to comply with the changes.~crlf~~crlf~Manage or assist with other projects as directed by your Manager.
KEY REQUIREMENTS/SKILLS/EXPERIENCEMinimum Requirements: ~crlf~– 3 years experience required: Investment adviser and / or mutual fund compliance; Strong familiarity with the requirements of the Investment Advisers Act of 1940 and the Investment Company Act of 1940~crlf~– Four-year degree required: Or equivalent work experience~crlf~– Preferred: Experience with Bloomberg AIM and StarCompliance; Understanding of CFTC, NFA and foreign regulatory requirements; In depth knowledge of the Futures, Options and OTC Derivatives business; Legal or paralegal background
ADDITIONAL INFORMATIONJob may require periods of stooping, standing, bending or sitting.