Compliance Officer

Permanent contract|Taiwan|Compliance

Compliance Officer

Taiwan Permanent contract Compliance

Responsibilities

Risk Scope:

The compliance department is responsible for the definition and consistency of the compliance risk prevention and control framework. Compliance risks consist in know your customer (KYC); sanctions and embargoes (S&E); money laundering and terrorist financing (AML/CTF); customers protection; integrity of the financial markets; countering bribery and corruption, ethics and good conduct; compliance with international tax regulations (e.g. FATCA, CRS); data protection; and ESG (Environmental & Social Governance). The successful candidate will assist the head of Compliance at SG Securities Taipei in overseeing the risks listed above.

Main missions:

Norms: contribute to the definition of the overall normative framework of the Compliance service and monitor its implementation (regulatory watch, global/regional policy developments watch, implement required changes locally)

Management support: contribute to the support senior management of the entity in managing compliance risk and resolving compliance issues

Advisory: advise and alert business leaders on key compliance and regulatory risks affecting their business areas

Compliance Production: assist the compliance manager in running compliance production functions: KYC, AML, S&E, capital market surveillance, control room, and related controls. Exercise oversight of distributed services (e.g. outsourced / offshored).

Awareness: contribute to raising awareness among entity employees regarding compliance risks and the strengthening of the compliance culture

Risk Assessment: Contribute to the mapping and analysis of the compliance risk, including running the compliance risk assessment

Reporting & Committees: assist the head of compliance in consolidating and monitoring significant compliance events in the entity, perform relevant escalation, attend committees relevant to the function (entity management committee, new product committee etc.)

Relationship with authorities: together with the head of Compliance, coordinate relationship with local authorities:

Developing and maintaining a strong working knowledge of the regulatory and exchange rules and regulations applicable to the business

Maintaining an awareness of all contact with regulators relevant to the business, participating personally in meetings with regulators on material matters

Managing timely and accurate responses to regulatory enquiries, liaising with the business and other control and support functions to obtain information as required

Enhancing a strong understanding of current market practices relating to the operations of the business by developing relationships with the compliance community (e.g. other Firms, audit, consulting, legal firms and with trade associations and other industry bodies)

Reporting lines: the role has reporting line to the Head of Compliance for SG Securities Taipei (based in Taipei).

Profile required

Education: Graduate level with finance / legal and Securities Specialist License (業務員) or other professional qualification is required

Experience:

  • Junior-mid level Officer in Taiwan, holder of a Securities Specialist License (業務員) and Senior Securities Specialist License (高級業務員) is a plus.
  • And holder of a valid “Basic Test on Financial Markets and Professional Ethics” certificate
  • a professional AML certificate is preferred
  • 3~5 years of experience in financial institution
  • Languages: Fluent in English and Chinese both verbally and in writing

Skills and Knowledge Required:

  • Sound working knowledge of regulations applicable to securities business in Taiwan
  • Knowledge and understanding of capital markets especially cash equity brokerage (warrants, debt underwriting is a plus)
  • Excellent communication (verbal and written, in English and in Chinese) with proven ability to cooperate with different stakeholders in international, English speaking environment i.e. to coordinate effectively with different stakeholders
  • Action-oriented mindset with a genuine curiosity about new markets, products and regulatory constraints
  • Abilities to generate regular/ routine report under compliance coverage and perform transaction monitoring, gap analysis and KYC review for FCC related  

Competencies:

  • Result Orientation: Rigor, Analytical Thinking and Attention to detail, Ability to identify priorities and address difficult situations with autonomy, Pro-activity and solution-oriented, proposition-making mindset
  • Change management: Negotiation and Leadership skills, Curiosity and critical sense, embracing change and ability to leverage new technologies, Good oral and written communication.
  • Cooperation: Good interpersonal skills

Business insight

Company Description:

Societe Generale Group is one of Europe's leading financial services groups and a major player in the economy for over 150 years, supports 30 million clients every day with 133,000 staff in 61 countries.

The SG Securities Taipei entity provides a range of services including brokerage of cash equity, warrants, as well as bonds underwriting.

SG Securities Taipei is currently looking for a Compliance Staff. This is an exciting opportunity to join a dynamic team in a business growth phase and get hands-on experience within a fast-paced, results focused, global organization. The successful candidate will be able to build close relationships with the business teams onshore and within the organization more broadly on a regional and global basis. This position is reporting to the head of Compliance at SG Securities Taipei.

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Reference: 230000F4
Entity: SG Securities (HK) Ltd., Taipei Branch
Starting date: 2023/02/05
Publication date: 2023/01/06
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