General Compliance (at least 70%)
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
handle marketing materials reviews on a daily base and ensure all marketing materials are followed group standard and local rules/regulations/practice.
Provide advice and guidance based on:
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compliance with local, laws/ regulations, regional/global best practices and AB policies and procedures; and
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a strong understanding AB fiduciary obligation and its commercial and business objective
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a strong and concrete understanding of local Taiwan laws, rules and regulations related to asset management and other financial industries (if related), as well as market practice.
Assist the Regional Head 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., if required.
Assist the business teams 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.
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