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Asset Management, Compliance, Associate/Vice President

Req #: 180014791
Location: Taipei, TPE, TW
Job Category: Compliance
Potential Referral Amount: 0 US Dollar (USD)
Business Description
Compliance plays a critical role in the successful execution of the firm's compliance mission.  The Compliance function ensures the development and maintenance of a strong compliance culture by developing and maintaining rules that govern our business globally. Compliance teams work closely with business, legal, risk, and audit program infrastructure that identifies, measures and monitors compliance with applicable laws, regulations and functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm's compliance control environment. Global Asset Management Compliance has the responsibility for oversight of the consistent implementation of Global policies & practices whilst ensuring regional and country nuances are adopted to take into account local law and regulation. 
Major responsibilities:
  1. Conduct periodic monitoring required by local regulation and find out a discrepancy of operation and internal control system.
  2. Provide Compliance advices to improve internal operation procedures and for senior management reference.
  3. Assure the Business compliance with the group policies and local regulatory to minimize compliance and business' risks.
  4. To analyze the impact of the regulatory requirements and advise the business on how to best ensure compliance.
  5. To work with LOB in execution of all compliance risk rating and assessment initiatives.
1. Education & Other licenses:
  • Degree in Law, Accounting or Finance related subject
  • Professional Accountancy or Legal qualification is an advantage
  • License of SITE & SICE or Senior Broker
2.  Experience:
  • 8+ years experiences in Compliance, Risk or Regulatory for financial industry is essential
3. Skills:
  • Excellent communication and personal skills with ability to clearly convey information and adjust style to intended audience
  • Strong organizational and time management skills
  • Team player with strong interpersonal and influencing skil
  • Knowledge of investment products and investment industry market practices.
  • Fluent in English
  • Good sense of logic
  • Self-motivated individual who is eager to learn more about the financial markets and regulation
  • An understanding of when issues require escalation
  • Strong technology skills and computer literacy (Word, Powerpoint, Proficiency in Excel is a must)
  • Strong written and verbal communication skills
  • Must be diligent, detail-oriented, possess follow-through skills, ability to multi-task and work well within the team environment
  • Positive professional and can-do attitude
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