Compliance -Financial Services
Attractive salary package and benefits
About Our Client
This is an well-known financial serivces company which provides great career path development to it's candidates.
1. Provide compliance and regulatory advice to business and undertake regular risk-based compliance monitoring, surveillance and reporting activities.
2. Work with a proactive team of compliance professionals to deliver efficient and best practice compliance and risk policies, procedures and standards, also keep on re-visit whenever necessary.
3. Work with the business on new products and/or initiatives for Taiwan and the region (if any), including the regulatory environment analysis and other details as well as new and periodic marketing reviews, and ensure all marketing materials are followed group standard and local rules/regulations/practice.
4. Provide advice and guidance based on:◦compliance with local, laws/ regulations, regional/global best practices and company policies and procedures.
6. Assist the business team and work together with legal and risk in the management of complaints, breaches and errors.
7. Provide staff with appropriate training and advice as required on compliance/regulatory relevant issues.
8. Work closely with the Global and Regional Compliance Team, Risk, and liaise with Internal Audit, internal Legal Counsel and business functions with respect to changes of relevant laws, regulations, standards, policy statements and guidance notes to ensure consistency with internal policies and procedures.
9. With professional knowledge of local rules/regulations, market trends, and local/ international frameworks in terms of AML/CFT and could function proactively to provide the concrete advice and suggestions for helping the company business growing and prevent potential risk generated from different angles.
10. Producing any required regulatory reporting for AML and preparing for and managing AML related regulatory examinations and inspections
11. Prepare or arrange the proper training in terms of AML/CFT/Financial Crimes to all colleagues
The Successful Applicant
- At a minimum, an accounting, business related or legal degree is required. Post-graduate studies are highly regarded.
- A minimum of 6-7 years' experience in a compliance/auditing and/or AML/CFT related role within funds management and/or other financial industries.
- Extensive knowledge of Taiwan regulatory requirements and In-depth knowledge of asset management products, mandates and managed investment scheme (unit trust) experience is a must.
- Ability to communicate across different functions and countries, articulate the thoughts and issues clearly.
- Strong sense of responsibility, analytical and interpersonal skills with ability to influence and lead.
- Collaborative, proactive and creative approach to problem-solving.
- Self-starter with initiative and ability to work independently.
- Strong attention to details.
- Fluent in written and spoken in Chinese and English.
- Effective time and project management skills.
- This position requires a high degree of professionalism and a flexible approach to a multi tasking work environment.
- The ability to communicate effectively and efficiently, both written and verbally, at all levels throughout the organisations is a must.
- A proactive, can do attitude and ability to work to deadlines will be required.
What's on Offer
- Attractive salary package and benefits.
- Dynamic working environment.
- International exposure.