The bank for a changing world

We are looking for

Wealth Management Compliance Officer

Apply REF: COM001589
  • He/she validates the policies to be adhered by the territory and controls that they are respected and implemented by achieving a twofold objective:
    • Independence of decisions; binding advice
    • Close partnership with the business to provide them strong second levels of control, guidance and advisory
  • He/she is responsible for developing and maintaining a strong Compliance culture within his/her perimeter
  • The Compliance officer works in close cooperation with other Compliance officers and business lines to ensure consistency of decisions and operating models
     
    Compliance Officers are responsible for the following activities:
  • Provides reasonable assurance on the compliance of the operations / activities with applicable laws and regulations and escalates to his/her manager to ensures action plans are launched for perceived weaknesses
    • Ensures consistency of the Compliance model and policy within his/her operational perimeter
      • Supports the Compliance rules to be adapted / implemented in coordination with the Compliance Domains and the Business Lines
      • Coordinates diffusion of policies and adaptation into operational procedures
    • Supports the effective implementation of Compliance rules
    • Supports the effective implementation of Compliance tools & systems
    • Makes Compliance decisions on issues reported by local teams in his/her scope of responsibility, involving the Compliance Central Domains when relevant
      • Exercises decision rights for category 1 level cases
  • Supports appropriate governance to manage risk of non-compliance : leveraging Business Lines COs expertise, Leveraging Domains COs expertise
  • Update self-assessment checklists of local regulations and monitor the results performed by WM
  • Assist WM to obtain regulatory approvals for new businesses from the local regulator
  • Review and approve Client Acceptance files on prospects and existing clients except for those that Head of TW WM Compliance could not delegate approval authority per latest bank policies and procedures

    Key Interaction

  • Representatives of Compliance Operational Perimeters and Domains
  • Compliance Business Line representatives
  • Business representatives
  • Other Control functions

  • University graduates
  • At least 2 years of banking and/or regulatory experience
Primary Location: TW-TPE-TaipeiJob Type: Standard / PermanentJob: COMPLIANCEEducation Level: Bachelor Degree or equivalent (>= 3 years)Experience Level: At least 2 years