The focus of this position is on managing the legal issues and compliance programs associated with company’s operations in Taiwan. This dynamic position will provide broad based legal support services to company‘s commercial, medical and business functions in the affiliate. As the Country Counsel, this role serves as an advisor to the General Manager and extended country management team. In addition, the role serves as the Compliance Officer for Branch Office in Taiwan and leads the Worldwide Compliance & Business Ethics Department’s programs on a variety of healthcare and anti-corruption compliance issues. This position will be responsible for identifying, triaging, coordinating, and leading compliance-related activities and will have responsibility for privacy/data protection issues.
As a leader in the organization, the role also provides the GM and Country Management Team with legal and compliance advice and support for managing business operations and delivering on strategic initiatives. As a legal and compliance expert, the Senior Manager is expected to monitor the external environment - ensuring company’s legal risks are proactively managed and its compliance program continues to meet the highest standards. The role will also include other Compliance related activities as determined by affiliate priorities (e.g. investigations support, audit support, policies updates, monitoring activities, training activities, managing third party supplier due diligence, etc.)
1. Providing Taiwanese legal and regulatory advice for and in relation to:
i. The business and activities generally, but particularly in relation to derivatives and securities, of Taipei Branch, including following new products presented for validation for sale or trading in Taiwan;
ii. Global or regional initiatives rolled out or implemented in Taiwan, including assisting in connection with outsourcing matters;
iii. Taiwanese banking secrecy, personal data, cybersecurity and related matters;
iv. The placement from onshore and offshore of structured products (including OTC, debt securities and funds), including covering in particular Taiwanese legal aspects of offshore note sales and of any related placement and distribution issues; liaising with the Hong Kong based legal team handling the transaction management and documentation of such issues; and
v. Licensing and related matters relevant to Taipei Branch.
2. With the support of Legal and Compliance staff outside Taiwan, principally in HK and Paris, addressing questions arising from local clients and stakeholders relating to the impact in Taiwan of regulations impacting the bank’s activity (e.g. EMIR/DFA/Volcker). Maintaining close relations with and leveraging from local Compliance staff will be key to this role.
3. Following the legal and regulatory reform relevant to the business of the Taiwanese branch and securities entities, and handling the legal reporting for the Taiwanese branch and securities entities, including regulatory reporting, significant facts reporting, legal risk mapping and permanent supervision.
4. Coordinating the appointment and management of the Taiwanese law firms that form the panel of preferred law firms of the bank and the securities business from time to time.