Compliance Officer - Associate/Vice President
JPMorgan Chase
- Taipei City
- Permanent
- Full-time
- Coordinating regulatory engagements (surveys/enquires/ad hoc requests), analyzing implication of regulatory developments (consultation papers/regulatory changes) and consolidating feedbacks from business teams.
- Performing licensing registration & associated filing to regulators and providing day-to-day advice on personnel licensing requirements to businesses and senior managers.
- Conducting monitoring to review key processes and identify control gaps/process improvements.
- Keeping abreast of regulatory matters relating to products and liaising with counterparties to follow-up regulatory reporting items where necessary.
- Providing the oversight and guidance of investment compliance matters and relevant initiatives.
- Assisting in the compliance review and challenge of the legal entity risk assessment as appropriate.
- Monitoring and evaluating regulatory developments and implementing necessary changes to compliance related policies and standards.
- Participating in the regional coordination of ad-hoc compliance projects.
- Contributing and coordinating the compliance self-assessment program to be in compliant with relevant regulations.
- Facilitating the preparation and delivery of relevant compliance trainings.
- Assist in providing responses to internal audit/review and or regulatory exam requests.
- Bachelor's degree in Law, Business, Finance and / or related fields.
- 10 + years of work experience in Compliance, Risk, Audit or Business Control Functions of Asset Management Company, Bank or Securities firm.
- Taiwan Senior Securities Specialist License or SITE & SICE Personnel License.
- English and Mandarin Proficiency
- Good communication skills, detail-oriented, organized attitude and working manner with teamwork spirit.
- Superior problem solving and analytical skills, capable to work independently and also be a team player.
- Ability to gain partnership with the business and challenge the status quo.