Compliance Manager

Your team

The Pictet group is one of the world’s leading independent wealth and asset managers. Founded in 1805 and headquartered in Geneva, Switzerland, the Group is represented in 30 offices in financial centres worldwide, currently employing over 5000 people.

Pictet Asset Management is seeking to recruit a Compliance Manager to work in the PAM Risk & Control Functions for Pictet SICE (Taiwan) Limited.

Your role

• Act as local Compliance Officer for Pictet SICE and ensure compliance with Taiwan laws, regulations and Group policies.
• Serve as main contact for the Taiwan regulator and external legal advisers on compliance matters.
• Coordinate with Pictet AM Compliance and the fund registration team on distribution, fund registration and prospectus-related requirements (local and cross-border) and arrange post reporting of fund information in the TDCC portal.
• Monitor regulatory developments in Taiwan, assess their impact and update internal guidelines accordingly.
• Maintain, update and implement compliance policies, procedures and controls for Pictet SICE.
• Arrange and organise Board meetings for Pictet SICE
• Conduct compliance reviews and ad hoc investigations as requested by the regulator or Group Compliance.
• Provide day-to-day compliance advice to support sales, marketing and new business initiatives.
• Review and approve marketing materials to ensure they meet internal and external requirements.
• Arrange all compliance post reporting in relation to authorized funds and private placement funds for Pictet SICE.
• Oversee compliance risk management, incident reporting and remediation.
• Deliver compliance training and promote a strong compliance culture.
• Support due diligence and ongoing Know Your Distributor checks for new and existing distributors.
• Handle and escalate client complaints and financial consumer disputes, where applicable.
• Collaborate with PAM Compliance teams in all offices and prepare group compliance reporting and help on the PAM thematic compliance review.

Your profile

• University degree in Finance, Business, Law or a related discipline.
• Around 8+ years of relevant compliance experience in the financial sector (ideally asset management, distribution or SICE).
• Strong knowledge of Taiwan financial regulations related to distribution and SICE activities.
• Experience dealing with regulators and implementing practical compliance controls.
• Able to work independently, prioritise effectively and give clear, pragmatic guidance to the business.
• Excellent communication skills in Mandarin and English, both written and spoken.
• High level of integrity, professionalism and discretion.

Note

We will not accept any CVs via agencies

Diversity & Inclusion

Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace.