工作說明
Oversee the implementation of an effective compliance risk assessment program and engage with key business stakeholders
Represent Taiwan Compliance in Group Compliance initiatives through active participation and liaison work.
Develop and implement an effective education program through ongoing, engagement, communication and training to embed a culture of compliance and ethics compliance within Taiwan.
Responsible for the effective communication of compliance matters in accordance with relevant reporting and escalation protocols.
Oversee compliance reviews performed on the business unit, departments and branches / sales offices and provide solid support to the monitoring program and assurance on the implementation of remedial actions on any non-compliance issues.
Develop and implement a structural approach and procedures to effectively deal with suspected instances of compliance policy violations by employees and/or fraud and misappropriations by agents, from receiving allegations to planning and conducting investigations
Responsible for structuring, leading, coaching and developing the team members to strengthen the capabilities of the Compliance function.
Developing local policies and guidelines designed to ensure compliance with higher of the Group requirements or local regulatory requirements;
Working with the business to implement robust AML monitoring procedures and sanctions screening procedures;
Implementing robust procedures for staff and external sales force to raise Suspicious Transactions Reporting (STR); investigating STRs and undertaking external regulatory reporting as required.
候選人要求
Bachelor’s degree holder or above in appropriate field (e.g. Accounting, Economics, Risk Management, Business Management or Law)
10 -15 years solid work experience in the financial industry handling compliance and/or controls, and at least at least 3 years in a senior role.
In-depth understanding of the insurance business preferred and, in lieu of insurance, financial services.
Excellent interpersonal skills, high anti-pressure ability with good organized, detail-oriented and analytical traits.
Must possess strong leadership, coaching and influencing skills; strong business acumen; effective change management skills; problem solving and decision making skills.
With high level of integrity and takes ownership and accountability of results
Certified AML Specialist (CAMS) or at least 3 years of experience in AML and CTF related duties in the financial services industry a plus
