Compliance Officer, Vice President Compliance Officer, Vice President …

BlackRock
in Taipei, Taiwan
Permanent, Full time
Be the first to apply
Competitive
BlackRock
in Taipei, Taiwan
Permanent, Full time
Be the first to apply
Competitive
Compliance Officer, Vice President
Description

About this role

Overview:

Reporting to the Head of Compliance in Taiwan, the Compliance officer in Taiwan will assist the local Compliance team and partner with the APAC Compliance team to identify and manage compliance and regulatory issues for the business and organization. Would you like to be part of our growing organization and partake in this excellent opportunity?

Responsibilities:

  • Assist to review and evaluate compliance issues/concerns within the organization.

  • Review the marketing materials and provide advice to ensure all marketing materials are followed group standard and local rules/regulations/practice.

  • Assist to provide advice on product, product distribution, business, project enquiry and accurate process establishment.

  • Undertake regular risk-based Compliance Monitoring, surveillance and reporting activities and lead day-to-day operation of the Compliance affairs.

  • Incoming letter circulation and regulatory update to relevant departments

  • Good and efficient handling of regulatory inquiries and assist to co-ordination of regulatory visits.

  • Assist to conduct compliance training and advice in relation to SITE's activities.

  • Review and update the internal control manual, policies and business procedures for any SITE regulatory requirements.

  • Draft related policies and procedures and provide educational training on such policies

  • Handle the SITCA personnel registration matter

  • Coordinate and review annual compliance self-assessment tasks

  • Perform staff dealing monitoring (both internally and externally with Taiwan Stock Exchange and OTC) and preclearance checking

  • Assist to handle customer complaints

  • Work with the business on new products and/or initiatives for Taiwan and the region (if any), including regulatory environment analysis and other details


Qualifications:

  • University degree in finance/ accounting/ law/ technology with recognized professional qualifications preferred.

  • At least 6-7 years working experience, preferably in compliance or audit function in sizable fund management companies or financial industry. Previous working experience with regulators is a plus.

  • Good understanding of the regulatory environment in Taiwan, in particular knowledge of SITE Rules.

  • Must possess a strong work ethics and enjoy collaborating across teams.

  • Ability to communicate across different functions, articulate the thoughts and issues clearly

  • Collaborative, proactive and creative approach to problem-solving

  • Strong sense of responsibility, analytical and interpersonal skills with ability to influence and lead.

  • Excellent command of spoken and written English and Chinese.


Our benefits

To help you stay energized, engaged and inspired, we offer a wide range of benefits including a strong retirement plan, tuition reimbursement, comprehensive healthcare, support for working parents and Flexible Time Off (FTO) so you can relax, recharge and be there for the people you care about.

About BlackRock

BlackRock's purpose is to help more and more people experience financial well-being. As a fiduciary to investors and a leading provider of financial technology, our clients turn to us for the solutions they need when planning for their most important goals. As of June 30, 2020, the firm managed approximately $7.32 trillion in assets on behalf of investors worldwide.

For additional information on BlackRock, please visit www.blackrock.com/corporate | Twitter: @blackrock | Blog: www.blackrockblog.com | LinkedIn: www.linkedin.com/company/blackrock

BlackRock is proud to be an Equal Opportunity and Affirmative Action Employer.  We evaluate qualified applicants without regard to race, color, national origin, religion, sex, sexual orientation, gender identity, disability, protected veteran status, and other statuses protected by law.

BlackRock will consider for employment qualified applicants with arrest or conviction records in a manner consistent with the requirements of the law, including any applicable fair chance law.
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