Head of Compliance

工作内容

1. In charge of the compliance function & on-going group / regulatory reporting

2. Ensure that Taiwan office complies with relevant regulations

3. In charge of the local deployment of all the compliance common controls and policies and procedures.

4. Conduct compliance risk mapping to identify any non-compliance with relevant regulations and Amundi’s internal rules, and the compliance monitoring programme such as,

Financial Security :

ü KYC / AML

ü International Sanctions / OFAC Remediation Plan,

Market and Portfolio surveillance :

ü Discretionary Investment Service Compliance

Corporate Compliance :

ü Staff competency training

ü Gifts and entertainment procedure

ü Corporate board matters

ü Regulatory reporting

ü Personal account dealing

Marketing compliance :

ü Marketing materials review