Compliance Officer, Taiwan

Summary Of Role
Based in Taipei and employed by Neuberger Berman Taiwan (SITE) Limited ("
NB Taiwan
"), the Compliance Officer will be a member of Neuberger Berman's compliance team ("
NB Asia Compliance
") covering the firm's business activities and operations across the Asia Pacific (ex China, Japan and Korea) region ("
NB Asia
") and will report to the Senior Compliance Officer for NB Taiwan. As a member of the NB Asia Compliance team, he/she will be a part of and work closely with Neuberger Berman's Global Compliance team on all matters related to the development, implementation and ongoing maintenance of NB Asia's compliance risk management framework, as well as partnering closely with the NB Asia Legal team.

Responsibilities

• Assisting monitors regulatory changes and determine the impact to NB Taiwan. Lead / support the implementation of regulatory changes
• Gathering and providing feedback on public consultation papers, SITCA survey thereby influencing the regulatory decision-making processes.
• Ensure prompt and effective communication of regulatory requirements, licensing matters, including changes to regional compliance policies to Senior Management and relevant stakeholders across the Group.
• Keeping apprised of and reviewing existing, changing and new laws, rules and regulations in order to determine applicability and impact to NB Taiwan, and advising NB Taiwan staff of the same.
• Assisting in the development, implementation and ongoing administration (including updating) of compliance policies and procedures to reflect existing, changing and new laws, rules and regulations in Taiwan.
• Partnering with NB Taiwan staff in providing guidance and education regarding applicable compliance policies and procedures, and assisting with the preparation and delivery of compliance training to ensure all NB Taiwan staff are aware of and familiar with such compliance policies and procedures, and applicable laws, rules and regulations.
• Reviewing and approving marketing materials.
• Overseeing the onboarding and ongoing review of client accounts, including, where applicable and to the extent appropriate, ensuring that AML, KYC and suitability checks have been undertaken and are up to date.
• Assisting with all matters related to NB Taiwan's regulated activities, including: preparing and handling registrations with the regulator(s), and monitoring the ongoing status of NB Taiwan's and its employees' licensing and registrations; assisting with regulatory examinations; and, undertaking regulatory and trade reporting.
• Contributing to and fostering an unfettered environment for the appropriate escalation and resolution of breaches, errors and complaints.
• Assist in responding to requests from both internal and external auditors.
• Responsible for Incoming Official Letter circulation and release Outgoing Official Letter
• Providing ad hoc compliance advice and ongoing consulting and handling ad hoc compliance matters.

Requirements

• Undergraduate degree.
• Business level fluency in reading, writing and speaking both Mandarin and English.
• 5 to 8 years' experience in the fund management industry (SITE and/or SICE), the majority (if not all) of which as a compliance professional and/or internal auditor.
• Sound knowledge and understanding of the fund management regulatory environment, and the laws, rules and regulations applicable to a SITE and/or SICE, in Taiwan.
• Unquestionable ethics and integrity, with the ability to apply a commercial, pragmatic and/risk-based approach.
• Strong organizational and time management skills, with an ability to multi-task and a keen attention to detail.
• Strong interpersonal and communication skills, with a confident, engaging and outgoing personality, and an enthusiastic team-player.
• Self-motivated, willing to use initiative and able to work autonomously, with a minimum level of supervision (if needed).
• Able to work under pressure and in a fast paced environment.

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