Senior Compliance Manager - Taiwan

About the role

AB Global is hiring a Senior Compliance Manager (Assistant Director of Compliance) in Taipei. The role sits in a team responsible for identifying and managing compliance and regulatory issues, keeping the business aligned with AB Global's policies and developing local regulatory policies and procedures. It works closely with the business to build a positive compliance culture and supports the Head of Compliance APAC Taiwan AMLO in maintaining a sound AML/CFT structure.

Key responsibilities

• Provide compliance and regulatory advice to the Taiwan business and run regular risk-based monitoring, surveillance and reporting.
• Lead a team of compliance professionals in delivering compliance and risk policies, procedures and standards, and review them regularly.
• Work with the business on new products and initiatives, including regulatory environment analysis.
• Review marketing materials daily so they follow group standards and local rules.
• Advise all business functions on local laws, regulations, regional and global best practice, and AB fiduciary obligations.
• Assist the Head of APAC Compliance in maintaining the compliance framework, preparing management papers (e.g. compliance, AML, sustainability reports) and supporting regulatory examinations.
• Help manage complaints, breaches and errors with Risk and Internal Audit, and train staff on compliance and regulatory issues.
• Cooperate with Global and Regional Compliance, Risk, Internal Audit and Legal on changes in laws and regulations.
• Handle AML/CFT reporting, prepare for and manage AML-related regulatory examinations, and deliver AML/CFT/financial crimes training.

Required profile

• Accounting, business or legal degree; post-graduate study highly regarded.
• 8 to 10 years of experience in a compliance, auditing or legal 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 and mandates; ETF experience is a plus.
• Fluent written and spoken Chinese and English.
• Strong communication, analytical and interpersonal skills, with the ability to influence and lead.
• Attention to detail, time and project management skills, and a proactive, collaborative approach.