DETAILED RESPONSIBILITIES:
· CPL regulatory watch: keeping informed of legislative and regulatory developments, in order to be able to advise management and staff and adapt the compliance procedures and processes accordingly;
· awareness and training: setting up and managing (together with human resources) compliance training for employees and management on the laws, rules and standards in force in order to raise awareness and assist them in ensuring that their activities and conduct comply with the regulations and the compliance culture of the CACIB Group;
· policies and procedures: formalising local procedures to apply the laws and rules and standards in an appropriate fashion.;
· opinions: issuing advice and opinions for management and employees on transactions, customers, and new activities or new products, organisational changes or any change of business model which could have an impact on the risk profile of the CACIB Group with regard to compliance. Furthermore, Compliance is in charge of the governance of the NAP process and supervises its operation;
· risk assessment: advising management and Division managers on the assessment of significant risks related to their activities. On a pro-active basis, identifying and assessing compliance risks related to activities of CACIB Taipei;
· resources, tools and project management: asking adequate compliance infrastructure, tools and staffing levels to ensure an effective Compliance function;
· compliance controls and follow-up: setting up appropriate systems and controls for monitoring the respect of compliance policies. Performing regular compliance risk assessment and carrying out or ensuring where appropriate, completion of ex ante and ex post risk based controls on communications and transactions;
· follow up of incidents and management of customer complaints: investigating on compliance incidents with business lines/coverage to ensure that identified deficiencies are reported on a timely basis and corrected as necessary and also assuring the monitoring of the clients complaints process is in accordance with client protection rules
· relations with regulators: direct contact of or contributes to the relationship with enforcement authorities and regulators.
· internal and external compliance reports: providing regular management information on compliance to local Management, HO Compliance Department and reporting to local regulators on the quality of the compliance system on its level of risk.
· Designated as the chief AML/CFT Officer for Credit Agricole CIB (Taipei).
· Identified as one of the Senior Managers responsible for the key functions of Credit Agricole CIB (Taipei) and having decision-making power with respect to related business or management activities.
