12 month Regulatory Compliance Contractor position - Fresh graduates welcome
Posted by PIMCO • Taiwan, Taipei City, Taiwan
About the Role
RESPONSIBILITIES
:The primary responsibilities include managing and administering the firm’s compliance program covering areas on compliance program 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.
Main Responsibilities:
Assist all aspects of the firm's compliance program.
Provide regional coordination in relation to adhoc 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 corr...
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