Compliance Analyst

Company Description

AllianceBernstein is a leading global investment management firm that offers high-quality research and diversified investment services to institutional clients, individuals, and private clients in major markets around the world. AllianceBernstein employs more than 500 investment professionals with expertise in growth equities, value equities, fixed income securities, blend strategies, and alternative investments, and, through its subsidiaries and joint ventures, operates in more than 20 countries. AllianceBernstein’s research disciplines include fundamental research, quantitative research, economic research, and currency forecasting capabilities. Through its integrated global platform, AllianceBernstein is well-positioned to tailor investment solutions for its clients. AllianceBernstein also offers independent research, portfolio strategy and brokerage-related services to institutional investors

Overall Objectives:

The Compliance Analyst will be part of a team locally and regionally that has responsibility for identifying and managing compliance and regulatory issues for the business, including working with the business to develop policies and procedures, implementation and maintenance of a risk based monitoring programme, training for all relevant functions and briefing business managers on related compliance issues. Visibility in the business is critical to ensure the presence of a positive compliance culture.

The candidate will also need to assist Taiwan compliance head to maintain a sound AML/CFT company structure and help business to solve different cases and help for local policies and procedures.

The functions described above are always required to be performed accurately with detailed-oriented attitude and in a professional manner, in accordance with regulatory standards and written policies and procedures.

Prime Functions:

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:

• compliance with local, laws/ regulations, regional/global best practices and AB policies and procedures; and
• a strong understanding AB fiduciary obligation and its commercial and business objective
• 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.

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AML/Financial Crimes

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

Qualifications & Experience:

• At a minimum, an accounting, business related, or legal degree is required.
• A minimum of 5~8 years’ experience in a compliance/auditing related role ( AML/CFT will be a plus but not a must) within funds management and/or other financial industries
• Extensive knowledge of Taiwan regulatory requirements and In-depth knowledge of asset management products, mandates, and managed investment scheme (unit trust) experience is a must, ETF experiences is a plus..

• Ability to communicate across different functions and countries, articulate the thoughts and issues clearly
• Strong sense of responsibility, analytical and interpersonal skills with ability to influence and lead
• Collaborative, proactive, and creative approach to problem-solving
• Self-starter with initiative and ability to work independently
• Strong attention to details
• .Effective time and project management skills
• Fluent in written and spoken in Chinese and English

Skills & Attributes:

This position requires a high degree of professionalism and a flexible approach to a multi tasking work environment.

The ability to communicate effectively and efficiently, both written and verbally, at all levels throughout the organisation is a must. We are looking for the right candidate to have good people skills to further promote a proactive and consultative compliance culture.

Lastly, a proactive, can do and willing to take ownership attitude and ability to work to deadlines will be required.

歡迎身心障礙人士應徵