Compliance Analyst
AllianceBernstein
Taipei, TW
3天前

Responsibilities

The Compliance Analyst will be part of a team locally and regionally that has responsibility for identifying and managing compliance and regulatory issues for the business, including working with the business to develop policies and procedures, implementation and maintenance of a risk based monitoring programme, training for all relevant functions and briefing business managers on related compliance issues.

Visibility in the business is critical to ensure the presence of a positive compliance culture.

The functions described above are required to be performed accurately and in a professional manner at all times, in accordance with regulatory standards and written procedures.

The responsible for carrying out the following duties :

General Compliance

  • Provide compliance and regulatory advice to Taiwan business and undertake regular risk-based compliance monitoring, surveillance and reporting activities.
  • 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.
  • 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.
  • Provide advice and guidance based on : compliance with local, laws / regulations, regional / global best practices and AB policies and procedures;
  • anda strong understanding AB fiduciary obligation and its commercial and business objective

  • Assist the Regional Director of Compliance and Taiwan Compliance Head to prepare management papers for the management committee (i.
  • e. ICCC, local management papers (not limited to compliance report, AML report), local BOD required agenda) and Taiwan risk committee, etc.

  • Assist the business team and work together with legal and risk in the management of complaints, breaches and errors.
  • Provide staff with appropriate training and advice as required on compliance / regulatory relevant issues
  • 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.
  • AML / Financial Crimes

  • 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.
  • Producing any required regulatory reporting for AML and preparing for and managing AML related regulatory examinations and inspections
  • Prepare or arrange the proper training in terms of AML / CFT / Financial Crimes to all colleagues
  • Qualifications

  • 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
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