Compliance Manager Compliance Manager …

in Taipei, Taiwan
Permanent, Full time
Be the first to apply
in Taipei, Taiwan
Permanent, Full time
Be the first to apply
Compliance Manager
About Us:

We are PIMCO, a leading global asset management firm. We manage investments and develop solutions across the full spectrum of asset classes, strategies and vehicles: fixed income, equities, commodities, asset allocation, ETFs, hedge funds and private equity. PIMCO is one of the largest investment managers, actively managing more than $2.22 trillion in assets for clients around the world. PIMCO has over 3,000 employees in 20 offices globally. PIMCO is recognized as an innovator, industry thought leader and trusted advisor to our clients.

PIMCO is one of the world's premier fixed income investment managers with thousands of professionals around the world united in a single purpose: creating opportunities for our clients in every environment. Since 1971, we have brought innovation and expertise to our partnership with the institutions, financial advisors and millions of individual investors who entrust us with their assets. We aspire to cultivate performance and leadership through empowering our people, diversity of thought, and a commitment to an inclusive culture that engages in our global communities.

Position Description:

Will report to head of compliance in APAC North Asia and be responsible for:

  • assisting with license and master agent transfer applications;
  • ensuring the business activities comply with the applicable rules and regulations in Taiwan;
  • implement relevant policies and procedures to ensure compliance with the relevant Taiwan rules and regulations, including SITCA internal control requirements, and reporting/notification/prior approval requirements applicable to a SICE and a master agent post-registration;
  • providing negotiation support for all legal contracts in connection with business activities, including negotiation of agreements with sales agents;
  • coordinating with Human Resources personnel to ensure that the relevant staff/employees of the firm comply with the relevant qualification requirements;
  • conducting employee training on relevant laws and regulations

Position Requirements:

Must meet one of the following requirements:

  • be a "securities analyst" and also have 1 year or more of relevant work experience,
  • passed an examination for business persons of securities investment trust and consulting enterprise and have 5 years or more of relevant work experience ,
  • passed a senior securities specialist examination and have 5 years or more of relevant work experience ,
  • have 5 years or more of work experience serving as a manager of domestic or foreign funds,
  • be a graduate of a domestic or foreign university, or
  • have other academic or work qualifications sufficient to demonstrate possession of professional knowledge of securities and finance, operational experience, and leadership ability /.

Education: Degree in law or accounting from a reputable university. Qualified to practice as a lawyer in Taiwan.

Experience: Strong preference for a candidate who is or has been working in a similar role in the Taiwan SICE/Master Agent of a global asset management firm. A plus point if the candidate has been involved in setting up of a SICE/Master Agent in this capacity, and has experience dealing with the Taiwanese regulators.

General: Attention to details and good analytical skills. Confident, self-motivated, resourceful and able to take initiative and work autonomously. Ability to work under pressure with good organization and time management skills. Strong communication skills including excellent bilingual language skills in English and Mandarin Chinese (spoken and written).


PIMCO is committed to offering a comprehensive portfolio of employee benefits designed to support the health and well-being of you and your family. Benefits vary by location but may include:
  • Medical, dental, and vision coverage
  • Life insurance and travel coverage
  • 401(k) (defined contribution) retirement savings, retirement plan, pension contribution from your first day of employment
  • Work/life programs such as flexible work arrangements, parental leave and support, employee assistance plan, commuter benefits, health club discounts, and educational/CFA certification reimbursement programs
  • Community involvement opportunities with The PIMCO Foundation in each PIMCO office

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