Compliance Officer
Neuberger Berman Group LLC

Summary :

This role will work closely with Neuberger Berman’s Compliance in Taiwan and be primarily responsible for conducting internal audit testing, assisting with the provision of regulatory advice and generally supporting the business in Taiwan (to the extent permitted by regulation)

Responsibilities :

  • Implementing the audit monitoring program and conducting regular reviews of NB Taiwan’s activities for adherence to regulatory requirements, internal policies and procedures.
  • Ensure the completion and quality of the statutory audits for NB Taiwan 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 NB Taiwan.
  • 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.

  • Developing compliance training programs and overseeing implementation of training programs;
  • Interacting with NB Taiwan employees in providing guidance and education regarding applicable policies and procedures;
  • Liaising with and assisting the Neuberger Berman Asia Legal & Compliance team with such other matters as may be reasonably required, including various legal matters
  • Any other Compliance responsibilities
  • Requirements :

  • 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.
  • 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
  • Detailed-oriented
  • Strong time management skills with ability to multi-task
  • Proficient in both Mandarin and English
  • Commercial
  • Neuberger Berman is an equal opportunity / affirmative action employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations.

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