Compliance Analyst

About the role

AllianceBernstein, a global investment management firm, is hiring a Compliance Analyst in Taipei. The analyst joins a team responsible for identifying and managing compliance and regulatory issues, developing policies and procedures, running a risk-based monitoring programme, training staff and briefing business managers. The role also supports the Taiwan compliance head in maintaining a sound AML/CFT structure and handling local cases and policies.

Key responsibilities

• Provide compliance and regulatory advice to the Taiwan business and run regular risk-based compliance monitoring, surveillance and reporting.
• Help build and update compliance and risk policies, procedures and standards, and review marketing materials daily against group and local rules.
• Analyse the regulatory environment for new products and initiatives in Taiwan and the region.
• Advise on local laws and regulations, regional and global best practice, and AB's fiduciary obligations.
• Assist the Regional and Taiwan Compliance Heads in preparing management papers and reports (e.g. compliance and AML reports) for the management committee and risk committee.
• Help manage complaints, breaches and errors with legal and risk, and train staff on compliance and regulatory issues.
• Work with Global and Regional Compliance, Risk, Internal Audit, Legal and business functions on changes in laws and regulations.
• Provide AML/CFT advice, prepare AML regulatory reporting, manage AML examinations and inspections, and organise AML/CFT training.

Required profile

• Accounting, business or legal degree.
• 5 to 8 years of experience in a compliance or auditing role in funds management or another financial industry; AML/CFT experience is a plus.
• Extensive knowledge of Taiwan regulatory requirements and in-depth knowledge of asset management products, mandates and unit trusts; ETF experience is a plus.
• Fluent written and spoken Chinese and English.

Required skills

• Strong communication, analytical and interpersonal skills, with the ability to influence and lead.
• Attention to detail, time and project management skills, and ability to work independently.
• Proactive, collaborative approach and ownership of work to deadlines.