Summary
A leading global asset management firm with a comprehensive onshore and offshore presence in Taiwan, specializing in diverse investment solutions across fixed income and equities.
Responsibilities
- Regulatory Oversight: Review marketing materials and fund disclosures to ensure full compliance with SITCA and FSC regulations.
- Advisory & Policy: Interpret local regulatory changes and assess their impact on the firm’s business operations and internal policies.
- Internal Controls: Implement and monitor internal compliance programs, including AML/KYC protocols and employee trading oversight.
- Global Liaison: Coordinate with Regional and Global Compliance teams to align local practices with corporate standards.
Requirements
- Experience: 3–5 years of compliance experience within the asset management or financial services industry.
- Licensing: Must hold the “SITE/SICE” (Investment Trust and Consulting) or “Senior Securities Specialist” license.
- Skills: Fluency in English and Mandarin; strong ability to handle complex regulatory frameworks with precision.
Post Time｜2026/03/31
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