Regulatory Compliance Manager / Officer at PIMCO

Taipei City, Taipei City, Taiwan

Not SpecifiedCompensation

Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Asset Management, Financial ServicesIndustries

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

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