工作內容:
External Regulatory & Compliance (FSC/Bank Bureau /Bank Association….) official letter contact window
.Regulator Official letter / Survey follow-up .Regular Official letter Survey collect and reply (monthly/quarterly) .New / Update Regulation delivery and follow-up monitoring .Monthly Legal/Regulatory Report reporting
Internal Policy follow up
.Internal policy survey collecting and reply. (IPT、G&E…) To ensure department has complied with. .SOPs review and control .Fair dealing of customers principal assessment. .Regulatory Required License & Training (RRLT) Annual Review .DOA Annual Review for TW CBG Delegation of Authority (DOA) Delegation of Authority detail table .Monthly case sharing within department for Internal Policy、Regulator Penalty cases….etc.
Internal and external audit contact window
.Internal Operations & Review (Audit issues follow up) .Self-inspection Manager (checker) .SCSA Self-inspection review support .Internal / external audit issues re-exam. Review support .payments exceeding 30 days .Review documents (e.g., SOPs, official letters, etc.) .Reporting & Data Collection
Incident Management
.Incident assistance, reminder, notification, and discussion