002822 Asset Management VP, Compliance Advisory 法令遵循部

Jobinhalt

Job Contents:

1. To provide control/regulatory advices/Group requirements for preventing from regulatory/operational risk/fiduciary risks/Compliance risk/financial crime risk.

2. To deliver trainings, including but not limited to regulations/advertisements to business.

3. To implement the Compliance policies locally by containing Compliance/operational risks in liaison with Head of Compliance Advisory and their teams, ensuring adequate Compliance resource and training, fostering a Compliance culture and optimising relations with regulators.

4. Compliance is mainly responsible for overseeing and advising upon senior employee regulatory registrations and de-registrations, validating the adequacy and execution of key FLOD controls to assess adherence to policy and regulatory requirements via a risk based monitoring programme, evaluation of Compliance with regulations via risk-based trade surveillance and email surveillance, performing investigation of regulatory breaches and participation in governance forums and reporting and escalation of regulatory risks and issue.

5. To undertake market abuse surveillance.

6. To be responsible for projects independently and proactively.

7. To review RFPs (Request for Proposals), marketing materials and all documents sent to outsiders.

8. To engage in HSBC Compliance-related projects/regulatory requirements for implementation.

9. To organize/undertake/coordinate Global/Region Compliance/CA testing/CMA oversight.

10. To organize/coordinate/assist local regulatory inspection/mandate client visit.

11. To attend local/country/regional/global meetings.

12. Support Head of Compliance Advisory AMG Taiwan to implement policy for the anti-money laundering (“AML”), counter-terrorist financing (“CTF”), sanctions, anti-bribery and corruption (“AB&C), Fraud, TPVM (Third Party Vendor or non-Vendor Management) and Tax Evasion (collectively referred to herein as “Compliance”) risk management framework to meet Compliance requirements and legislation.

13. Work with the Compliance team in country and regionally to ensure consistent and effective application, and to evidence related Compliance regional standards, policies and procedures.

14. Prepare & submit regular management information/reporting/meeting packs to the management, Compliance functions & various risk forums.

15. Implement the Group’s Financial Crime Compliance strategy, policies, standards, controls, and related systems are being implemented in AMTW.

16. Provide advice to AMG business, products & service, and work for appropriated controls.

17. Stay at the forefront of key regulatory changes for the Asset Management Business in Taiwan to ensure proactive communication with business and manage the changes.

18. Liaise with internal and external stakeholders in relation to Compliance matters (including regulators).

19. To undertake oversight and challenge controls- related.

20. To prepare Compliance internal control assessment and regular financial crime report.

Requirements:

- Bachelor degree or above

- Familiar with Asset Management business with five years or above experience in Compliance related roles.

- Knowledge of FCC/RC related regulations and guidance

- Experience in the financial services industry or CPA firms

- Good in communication and stakeholders management

- Experience of dealing with regulatory matters and interactions with related authorities

- Fluent in English & Mandarin

- Prerequisite license: 投信投顧業務人員執照or證券商高級業務員or證券投資分析人員執照

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