Regulatory Compliance Manager / Officer at PIMCO

Taipei City, Taipei City, Taiwan

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Not SpecifiedCompensation

Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Asset Management, Financial ServicesIndustries

Requirements

Based in Taiwan
Expertise in regulatory compliance matters for Taiwan
Knowledge of local regulatory requirements, KYC/AML, sanctions checking, staff trading, marketing materials review, fund authorization, licenses maintenance, compliance training, audits, and regulatory enquiries/inspections
Understanding of industry best practices, company policies, and procedures

Responsibilities

Manage and administer the firm’s compliance program, including monitoring, vendors and distributors onboarding and regular review, KYC/AML, staff trading, marketing materials review, fund authorization, maintenance of licenses, compliance training, managing internal and external audits, handling regulatory enquiries and inspections, and other regulatory requirements
Assist all aspects of the firm’s compliance program
Provide regional coordination in relation to ad hoc compliance projects in Taiwan
Participate in joint initiatives between regulatory and investment compliance teams in APAC
Provide regulatory support such as managing licensing, reporting, and conduct requirements
Perform compliance reviews of the firm’s marketing materials, product-related documents, and client correspondence
Conduct compliance monitoring and testing against local regulatory requirements, industry best practice, and company policies and procedures
Perform AML and sanctions checking
Manage audits and regulatory reviews
Perform administrative duties including maintaining an effective documentation and filing system
Advise and guide business on group policies revisions and regulatory compliance developments
Help design and enhance an effective compliance program and support its implementation

Skills

Key technologies and capabilities for this role

KYCAMLCompliance MonitoringVendor OnboardingDistributor ReviewStaff TradingMarketing Materials ReviewFund AuthorizationLicensing MaintenanceCompliance TrainingInternal AuditsRegulatory InspectionsRegulatory Reporting

Questions & Answers

Common questions about this position

Is this role remote or based in a specific location?

This position will be based in Taiwan.

What are the main responsibilities of the Regulatory Compliance Manager?

The role involves managing the compliance program including monitoring, vendors and distributors onboarding, KYC/AML, staff trading, marketing materials review, fund authorization, licenses maintenance, compliance training, audits, regulatory enquiries, and other requirements.

What is PIMCO's company culture like?

PIMCO has a high-performance inclusive culture that celebrates diverse thinking and is shaped by CORE values of Collaboration, Openness, Responsibility, and Excellence, with a focus on helping others succeed.

What salary or compensation does this role offer?

This information is not specified in the job description.

What experience or skills make a strong candidate for this position?

Strong candidates will have expertise in regulatory compliance, including compliance program management, KYC/AML, marketing materials review, audits, regulatory reporting, and knowledge of Taiwan regulatory requirements.