職缺描述
§ 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 Requirements: § 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
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