Head of Compliance
Salary TWD1,800,000 - TWD3,500,000 per annum
Consultant Sue Chen
Date posted 28 May 2018No. 1 Songzhi Road Taipei Robert Walters Taiwan
A leading international asset management company in financial services industry is looking for a Head of Compliance to join Taiwan business located in Taipei city.
The responsibilities of Head of Compliance:
- in charge of the compliance function & on-going group / regulatory reporting; ensure Taiwan office complies with relevant regulations and Group's internal rules; in charge of the local deployment of all the group compliance common controls and policies and procedures.
- conduct compliance risk mapping to identify any non-compliance with relevant regulations and the group's internal rules, and the compliance monitoring programme such as,
- Financial Security
- Market and Portfolio surveillance
- Corporate Compliance
- Marketing compliance
- maintain the Compliance Manual and compliance-related materials and disseminate them to all staffs; prepare monthly compliance reports for submission to Regional Compliance Coordinator, and Global Head of Compliance
- work with inter-group company and/or external lawyer to prepare fund registration package and coordinate with local regulators
- perform ongoing regulatory research and update compliance manual to adhere to local and group requirements
- draft and review sales / business agreements and advise sales agents on regulatory issues
The requirements of Head of Compliance:
- university degree in accounting, legal or business related discipline
- licensed individual with at least 5 years’ experience in a compliance function in asset management companies and/or regulators or related industry
- strong oral and written communication skills with fluency in English and Mandarin
- good communication and presentation skills,
- good understanding of the asset management business as well as the ability to quickly understand the business needs, solve problem and propose solutions.