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Asset Management, Compliance, Associate

Req #: 180034966
Location: Taipei, TPE, TW
Job Category: Compliance
Job Description:
Major responsibilities:


  • Conduct periodic monitoring and find out a discrepancy of operation and internal control system.
  • Provide Compliance advices to improve internal operation procedures and for senior management reference.
  • Assure the Business compliance with the group policies and local regulatory to minimize compliance and business' risks.
  • To analyze the impact of the regulatory requirements and advise the business on how to best ensure compliance.
  • To work with LOB in execution of all compliance risk rating and assessment initiatives.
1. Education & Other licenses:
  • Degree in Law, Accounting or Finance related subject
  • Professional Accountancy or Legal qualification is an advantage
  • License of SITE & SICE or Senior Broker
2.  Experience:5+ years experiences in Compliance, Risk or Regulatory for financial industry is essential
3. Skills:
  • Excellent communication and personal skills with ability to clearly convey information and adjust style to intended audience
  • Strong organizational and time management skills
  • Team player with strong interpersonal and influencing skill
  • Knowledge of investment products and investment industry market practices.
  • Fluent in English
  • Good sense of logic
  • Self-motivated individual who is eager to learn more about the financial markets and regulation
  • An understanding of when issues require escalation
  • Strong technology skills and computer literacy (Word, Powerpoint, Proficiency in Excel is a must)
  • Strong written and verbal communication skills
  • Must be diligent, detail-oriented, possess follow-through skills, ability to multi-task and work well within the team environment
  • Positive professional and can-do attitude
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