Overall Objectives:

The Compliance officer will be part of a team locally and regionally that has responsibility to assist to identify and managing compliance and regulatory issues for the business, including working with the business to develop policies and procedures, implementation and maintenance of a risk based various monitoring programs, reviewing marketing materials, training and briefing business managers on related compliance issues. 

Teamwork spirit is a must. This position is an opportunity for experienced professionals to join a dynamic global team to deliver value added compliance services.

The functions described above are required to be always performed accurately and in a professional manner, in accordance with regulatory standards and written procedures.

Prime Functions:

This individual will perform these activities under the guidance of local and regional senior compliance management.

• Work with a proactive team of compliance professionals to assist delivering effective and comprehensive compliance policies, procedures and standards, including but not limited to personal trading monitoring, G&E, conflicts of interests, etc.
• Marketing materials reviews on a daily base, ensure all marketing materials are followed group standard and local rules/regulations/practice. 
• Participate in and assist the design and management of the risk-based compliance monitoring program with concrete business sense, both for local requirements and AB group policies.
• Assist to review the relevant documents in terms of new and routine official documents (i.e. trust agreement, prospectus, etc.)
• Help to implementation AML/CFT relevant monitoring and have proper professional knowledge of local rules/regulations and international trends and framework in terms of AML/CFT; and function proactively to provide the advice and suggestions for helping the company building efficient AML/CFT procedures/culture.
• Keep current as to the development of relevant industry, regulatory and corporate matters to be able to fulfill the compliance expectation from compliance lines and other business units.
• Represent Taiwan compliance function and provide meaningful contribution to routine or ad-hoc regional projects (beneficial ownership reporting), compliance team initiatives, global practice.

Qualifications & Experience:

• At a minimum, an accounting, business related, or legal degree is required.  Post-graduate studies are highly regarded.  Relevant license is a must.
• At least 3+ years’ experience in a compliance/risk (and/or AML will not be the key function) related role within funds management and/or other relevant financial industries.
• Knowledge of Taiwan SITE/SICE regulatory rules and requirements/environment and asset management products, discretionary accounts, and managed investment scheme (unit trust) experience preferred; open-minded to learn from other professionals and colleagues is required.
• Clear and precise communicate skills within the team and across different functions and countries; Fluent in written and spoken in Chinese and English is a must.
• Collaborative, proactive, and creative approach to problem-solving
• Strong attention to detail
• Effective time and project management skills and could conduct simple and basic project independently.

Skills & Attributes:

This position requires a flexible approach to a multi-tasking work environment and more than basic relevant industry professional background. 

The ability to communicate effectively and efficiently, both written and verbally, at all levels throughout the organization is a must. 

We are looking for the right candidate to have good people skills, willing to take challenges in a dynamic international company and willing to further promote a proactive and consultative compliance culture, and always has team-spirit to perform the BAUs and ad-hoc projects.

Lastly, a proactive, can-do attitude and ability to work to deadlines will be required.

*歡迎身心障礙者應徵

Taipei City, Taiwan