POSITION PURPOSE:

As the Head of Regulatory Office Compliance Taiwan to provide reasonable assurance with respect of applicable laws and regulations within the territory, with double hat of Global Markets and Institutional Banking Taiwan and as the PIC correspondent as well as MI correspondent for Taiwan.
Responsibilities:

• Coordinates diffusion of policies and adaptation into operational procedures
• Supervises consistency of implementation
• Drives the effective implementation of Compliance rules
• Supports the effective implementation of Compliance tools & systems
• Makes Compliance decisions on issues reported by local teams in his/her scope of responsibility, involving the Compliance Central Domains when relevant
• Exercises decision rights for intermediate level cases
• Provides support and guidance to territory teams
• Ensures a healthy interface between the business and the regulatory authorities on his/her territory, in coordination with the Compliance Domains
• Establishes close partnership with the business
• Provides strong guidance and advisory for their business development : Provide advisory on the territory level, Formal agreement for intermediate level cases on the territory
• Aggregates and reports risk on territory-specific issues and mitigation plan to the Head of Compliance Taiwan and to the Territory Executive Committee
• Establishes an appropriate governance to manage risk of non-compliance : leveraging Business Lines COs expertise, Leveraging Domains COs expertise
• Leads, manages and supports Compliance, Permanent control and Operational Risk teams in his/her perimeter
• Identifies required improvements of organization, tools and processes
• Organizes and facilitates Business Line key Compliance committees
• Validates priorities for his/her N-1
• Takes decisions for his/her N-1 on recruitments and performance appraisal
• Monitors the training roadmap of his/her teams
• Aggregates, challenges and manages Business Line Compliance budget