Vice President; Sr. Country Compliance and Operational Risk Manager
On-siteTaipei, Taiwan, Taiwan
Job Summary
Provide day-to-day compliance advisory support to Taiwan Global Markets and GCIB businesses by monitoring regulatory developments, reviewing new products and transactions, and assessing their compliance impacts. Coordinate responses to regulatory examinations, inspections, and inquiries while overseeing employee compliance, trade surveillance, and electronic trading controls. Escalate identified risks and control weaknesses to senior leadership and partners, preparing management reporting and governance materials as required. Execute compliance risk management programs covering securities activities and financial crime requirements through proactive collaboration with regional and global teams.
Required Qualifications
- 10+ years of experience in Compliance, Compliance Risk Management, Operational Risk, or related control functions within the banking or securities industry
- Working knowledge of Taiwan securities regulations and regulatory expectations
- Experience interacting with regulators, auditors, and internal control functions
- Strong analytical, problem-solving, and risk assessment skills
- Ability to manage multiple priorities and collaborate effectively across teams, functions, and business lines
- Strong written and verbal communication skills in both English and Mandarin Chinese
- Confidence in engaging and communicating effectively with senior leadership
- Ability to work independently while exercising sound judgment and appropriate escalation
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