Compliance Officer/Internal Auditor
Salary Attractive Package
Consultant Thomas Chiu
Date posted 06 April 2018No. 1 Songzhi Road Taipei Robert Walters Taiwan
A Financial Services company is seeking a compliance officer/internal auditor will be reporting to Co-Head of Compliance, Asia Pacific and working closely with the company's Compliance. This compliance officer/internal auditor will be primarily responsible for conducting internal audit testing, assisting with the provision of regulatory advice and generally supporting the business in Taiwan.
Responsibilities of this compliance officer/internal auditor:
- Implementing the audit monitoring program and conducting regular reviews of the company's activities for adherence to regulatory requirements, internal policies and procedures.
- Ensure the completion and quality of the statutory audits for the company and conducting compliance assurance reviews as required by Senior Management to ensure that risk and compliance controls are in place.
- Keeping abreast of and reviewing proposed and new rules, regulations and laws so as to determine applicability to the company.
- Assist in handling routine regulatory examinations, including: the production of documents to regulators; day-to-day interaction with regulators on routine matters; and, preparation of draft responses to examination letters for basic or routine examinations.
- Liaising with and assisting the Asia Legal & Compliance team with such other matters as may be reasonably required, including various legal matters.
Ideal characteristics which the compliance officer/internal Auditor will possess include:
- Degree in Accountancy, Banking, Finance, Law or related field
- At least 5 years of relevant working experience in internal audit / compliance within a SITE/SICE in Taiwan, preferably SITE.
- Sound understanding / knowledge of the relevant laws, regulations, rules, codes and guidelines in Taiwan relating to a SITE/SICE
- Confident, engaging, outgoing personality and ability to work with a minimum level of supervision
- A self-starter with initiative and good discipline in following up on open items
- Outstanding organizational skills; excellent interpersonal and communication skills
- Strong time management skills with ability to multi-task
- Proficient in both Mandarin and English