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VP, Regional Compliance Officer

4 months ago

Baltimore, United States Allianz Trade in North America Full time

Reporting Line: SVP, Regional CFO / Matrix reporting: Allianz Trade Group Compliance

Responsible for safeguarding in the region the reputation of Allianz Trade as the most trusted provider of credit management solutions, and for promoting, in partnership with management and business, a culture of integrity and compliance by: Advising on business conduct that is lawful, ethical, and in the interest of our customers, shareholders, business partners and colleagues, preventing and detecting violations of laws and regulations through identifying and managing compliance risk, and advocating Allianz Trade’s compliance positions with regulators. Responsible for adherence with all state licensing requirements, required submissions to state regulator, identification of major changes in regulations, and maintaining strong relationship with domiciliary state.


Key Responsibilities And Duties

  • Monitor and oversee Regulatory Compliance, Sales Compliance, Anti-Financial Crime, Market Integrity and Code of Conduct requirements across the OEs, LEs and Branches in the Region,
  • Aggregation, analysis and preparation of compliance activity and integrity matters reporting to the Audit Committee,
  • Ensure effective implementation of the Compliance Manual requirements,
  • Manage compliance affairs in the Regional Office and with all local entities in the Region,
  • Implementation of all relevant local, regional and global compliance policies and standards,
  • Compliance with Allianz standards and auditors’ recommendations,
  • Provision of reliable, prompt, and commercial Compliance advice,
  • Deliver global/regional communication & training,
  • Provide global team project management & related communication,
  • Deliver simplification and integration of tools and solutions, procedures and processes,
  • Provide the Regional reporting required by the Compliance Function 4 times per year,
  • Report on compliance issues to the Regional Management team and to the Global Head of Compliance as regards the compliance activities including Anti-Financial Crime including Anti-Fraud, Sales Compliance, Market Integrity and Regulatory Compliance,
  • Organize the exchange of best practice on compliance activities with other Allianz Trade Compliance Officers,
  • Set up the annual compliance plan for the Region and perform a compliance risk assessment on an annual basis,
  • Carry out compliance related investigatory work, especially in case of suspicion of insider dealings or breaches of compliance rules such as the Code of Conduct,
  • Provide proactive advisory service in regulatory and compliance matters to the Regional Management team with regard to Anti-Financial Crime, Sales Compliance, Market Integrity and Regulatory Compliance,
  • Ensure an Anti-Fraud training and awareness program is in place in the Region, ensure employees are advised on an ongoing basis of how to report any possible misconduct relating to Fraud, and ensure information sharing of suspected fraud with management and control functions in order to identify trends,
  • Report Internal Fraud and any other breaches of the Compliance Standards to Allianz Trade Group Compliance at compliance@allianz-trade.com,
  • Complete a Targeted Review/Compliance Review of the Anti-Fraud framework on at least a 3-year cycle,
  • Provide anonymous Whistleblowing and Speak-up facilities that employees are frequently made aware of,
  • Support the regional business functions in assessing the potential compliance risks of new products and business lines.
  • Presentation to the Regional Management at least 4 times per year relating to Compliance Risk & Planning and mid -year review,
  • Ensure that the Compliance function is valued by business functions and senior management,
  • Provide Compliance advisory role, risk identification and assessment, monitoring, and early warning,
  • Represent company to all applicable external parties for Compliance topics,
  • Oversee government relations department ensuring compliance with all aspects of the regulation of the company by state and national regulatory agencies (financial reporting is performed by reporting team)
  • Ensure all licensing and filing requirements are met
  • Establish strong relationship with regulator
  • Support examinations (exam coordination is performed by reporting team)
  • Collaborate with legal, accounting and reporting team members as needed to ensure requirements are identified, understood and met


Required Qualifications And Skills

  • Bachelor’s degree in related field, MBA or Masters preferred.
  • 7+ years’ experience in Compliance, Legal, Audit, Controlling or similar field. Prior 3 years’ experience as a compliance officer for a sizeable organization in the financial sector preferred.
  • Market Knowledge (Insurance business): Detailed understanding of regulatory environment and general understanding of market environment
  • Client service mentality, quality-focused and results-oriented;
  • Strong organizational and project management skills and ability to prioritize and coordinate a number of projects in parallel, and/or work with members of Org & Change team;
  • Excellent interpersonal skills and the ability to comfortably interact with people at all levels of the organization, including executive management, and in an international environment. Diplomatic sensitivity and ability to manage multiple stakeholders,
  • High level of integrity, apply rigor and methodology as well as a pragmatic approach for applying concepts,
  • Audit/review background or Compliance professional
  • Strong appreciation of risks and controls applicable;
  • Experience in managing change and promote innovation with a hands-on mentality.
  • Management and leadership skills including conflict management, arbitrage, and independence

49676 | Legal & Compliance | Professional | Allianz Executive | Allianz Trade | Full-Time | Permanent

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.

We at Allianz believe in a diverse and inclusive workforce and are proud to be an equal opportunity employer. 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.

Join us. Let's care for tomorrow.