Senior Compliance Manager & Taiwan Compliance Lead

작업 내용

• Manage day-to-day operation of the TW Compliance team
• Closely follow and monitor developments of applicable regulatory requirements and evaluate compliance issues/concerns and any potential impact
• Maintain an effective compliance communication program to ensure that management and employees have awareness and understanding of new and existing regulatory requirements and related policies and procedures
• Provide regulatory landscape insights to the management for business planning
• Ensure the business is conducted according to the regulatory requirements and internal policies and procedures
• Ensure implementation of global/regional/local Compliance policies and procedures, maintain and update local Compliance policies and procedures
• Partner with different business channels and advise business solutions
• Act as a liaison with Taiwan regulators
• Partner with global/regional Legal & Compliance & Risk teams and other control functions and participate in global/regional projects and implementation of global/regional systems
• Provide other compliance support as may be requested from time to time

• 10+ years of compliance experience for asset management or other financial industries
• SITE/ SICE Associate Person License or Senior Securities Associate Person License
• Strong written and verbal communication skills in English and Mandarin Chinese