Compliance Analyst

About This Role

This role is for a Compliance Analyst to join a team responsible for identifying and managing compliance and regulatory issues within the investment management business, both locally and regionally. The position involves developing policies, implementing monitoring programs, providing training, and advising business managers on compliance-related matters, with a focus on fostering a positive compliance culture. The candidate will also support the Taiwan compliance head in maintaining a robust AML/CFT structure and assisting the business with various cases and local procedures.

Responsibilities

• Provide compliance and regulatory advice to the Taiwan business
• Undertake regular risk-based compliance monitoring, surveillance, and reporting activities
• Work with a proactive team to deliver efficient and best practice compliance and risk policies, procedures, and standards, and re-visit them as necessary
• Work with the business on new products and/or initiatives for Taiwan and the region, including regulatory environment analysis
• Handle daily marketing materials reviews, ensuring adherence to group standards and local rules/regulations/practice
• Provide advice and guidance based on compliance with local laws/regulations, regional/global best practices, and AB policies and procedures
• Apply a strong understanding of AB's fiduciary obligation and its commercial and business objectives
• Apply a strong and concrete understanding of local Taiwan laws, rules, and regulations related to asset management and other financial industries, as well as market practice
• Assist the Regional Head of Compliance and Taiwan Compliance Head in preparing management papers for management committees and the Taiwan risk committee, if required
• Assist business teams and collaborate with legal and risk in managing complaints, breaches, and errors
• Provide staff with appropriate training and advice on compliance/regulatory relevant issues
• Work closely with the Global and Regional Compliance Team, Risk, and liaise with Internal Audit, internal Legal Counsel, and business functions regarding changes in relevant laws, regulations, standards, policy statements, and guidance notes to ensure consistency with internal policies and procedures
• Function proactively to provide concrete advice and suggestions for business growth and potential risk prevention related to AML/CFT
• Produce any required regulatory reporting for AML
• Prepare for and manage AML-related regulatory examinations and inspections
• Prepare or arrange proper training in terms of AML/CFT/Financial Crimes for all colleagues

Requirements

• Accounting, business related, or legal degree
• Minimum of 5~8 years’ experience in a compliance/auditing related role within funds management and/or other financial industries
• Extensive knowledge of Taiwan regulatory requirements
• In-depth knowledge of asset management products, mandates, and managed investment scheme (unit trust) experience
• Ability to communicate across different functions and countries, articulating thoughts and issues clearly
• Strong sense of responsibility, analytical and interpersonal skills with ability to influence and lead
• Collaborative, proactive, and creative approach to problem-solving
• Self-starter with initiative and ability to work independently
• Strong attention to details
• Effective time and project management skills
• Fluent in written and spoken Chinese and English

Nice to have:

• AML/CFT experience
• ETF experience

Skills & Attributes

• High degree of professionalism
• Flexible approach to a multi-tasking work environment
• Ability to communicate effectively and efficiently, both written and verbally, at all levels throughout the organisation
• Good people skills to further promote a proactive and consultative compliance culture
• Proactive, can-do, and willing-to-take-ownership attitude
• Ability to work to deadlines

About the Company

AllianceBernstein is a leading global investment management firm that offers high-quality research and diversified investment services to institutional clients, individuals, and private clients in major markets around the world. AllianceBernstein employs more than 500 investment professionals with expertise in growth equities, value equities, fixed income securities, blend strategies, and alternative investments, and, through its subsidiaries and joint ventures, operates in more than 20 countries. Its research disciplines include fundamental research, quantitative research, economic research, and currency forecasting capabilities. Through its integrated global platform, AllianceBernstein is well-positioned to tailor investment solutions for its clients and also offers independent research, portfolio strategy, and brokerage-related services to institutional investors.