「Due Diligence officer」的相似工作

本職務為集團子公司稽核主管： 1. 執行年度查核計劃，撰寫稽核報告及執行結果，針對缺失與問題提出適切改善建議，並追蹤改善情形 2. 年度內部控制制度自行評估相關作業 3. 協助集團制訂各項辦法及進行流程優化 4. 主管交辦事項 #具製造業經驗尤佳 #可視居住地選擇至台北或新竹上班 台北：台北市內湖區內湖路一段396號11樓 新竹：新竹縣湖口鄉光復路20號

Welcome talents with AML Governance related experience to join us! === Job Duties & Responsibilities AML/CDD: 1. Name Screening: Part of KYC/CDD process peformance, support to screen customer portfolio by name or other crietia by using data pool/documents/google search/social media, further to call customer to define true/fasle hit. 2. TSU RFI: Transaction Surveillance request information for suspcious AML transactions to support to clarify with customers. 3. Event Trigger(Internal/External):To support review customers backgroud and transaction trigger by customers transactions behaviours which internal assigned from FCSS TSU team and external from police or relevant fraud control units for 告誡戶/警示戶 ; such as; suspcious abnormal transactions/IBG, Branch customers Relationship customers apply with High/Meduim/Low risk rating 4. Periodic Review: High/Meduim/Low Risk customer CDD/EDD periodic review to apply with Regulation and Group guideline request 5. UAE & STR: Review trigger cases and raise UAE(Unusual Activity Escalation) to FCSS, such as: Overpayment/Prepayment/FACAT/abnormal transactions. After defined by FCSS as a STR, then support to peform EDD review. 6. Customer termination: Once confirmed or defined by FCSS customers abnormal transaction behaviours then will need to executive the termination to comply with AML Regulation request. Internal self-inspection: 1. Monthly self-inspection by product type to comply with Local Regulation 2. Findings re-inspection: Re-inspection for internal or external finding issues.

1. 覆核銀行客戶的存款 , 匯款及外匯等交易 2. 熟悉存款, 外匯相關法規 與內部控制規定, 確保每筆交易合規無誤 3. 協助培訓和指導團隊成員進行交易處理和提供專業且親切的服務給客戶 4. 核閱主管機關報表 5. 協調專案計畫的執行及參與系統測試

T&D SMO is responsible for researching and designing frontline sales targets and execution strategies. It also manages and assists supervisors in effectively operating branches and achieving their objectives. The scope of work includes: • Sales target design and calculation. • Design of various key performance indicators (KPIs). • Strategic planning for all branches and wealth management across Taiwan. All these activities are conducted in adherence to the regulations and strategic directions set by the company, the group, and external regulatory authorities. Therefore, SMO plays a very crucial role within the organization." Job Purpose : To assist sales management with timely management information providing, strategic improvement & initiatives and project execution to enhance sales performance and productivity and achieve the business goal. Key Accountabilities: 1. To perform sales performance management & business analysis to extend wealth business 2. To co-work with branch management to drive sales productivity to achieve business focus and KPI and gain customer relationship 3. To communicate with stakeholders to optimize branch foot print & branch profitability 4. To initiate / execute sales reward and recognition programs to motivate over–achieving culture and recognize high performers 5. Full compliance with both internal and external regulatory requirements Job Duties & responsibilities: ­1. Sales performance/productivity management, including goal & KPI setting, sales HC management, performance management, and all sales productivity related projects/process/CJE/compliance & control coordination/management 2. Sales incentive & recognition program, including plan and execute & timely track tactical campaigns to achieve business target branch optimization model management ­3. Sales communication

- 金融業全台最大外商銀行 - 在業務這條路的你並不孤單，團隊一起並肩作戰，衝向成功！ - 辦公室氛圍&團隊氣氛佳，在支持性團隊中發展你的事業 - 加入星展銀行，協助客戶選擇最適合的信貸方案，為他們的生活帶來便利與財務上的安心 星展銀行徵才優質職缺: 【信貸電話行銷專員】 (週休二日) 1. 內勤電銷正職業務: 針對優質卡友以電話銷售信貸商品，並提供顧客最新信貸產品訊息 2. 遵照公司規範及作業流程進行產品銷售 3. 顧客問題反應及處理 - 說明會相關資訊如下 ．活動日期：2025年9月4日(四) ．活動時間：上午9:30~中午12:30 ．活動地點：台北市內湖區 ．活動內容：公司文化福利介紹、工作職缺介紹、快速面試 ．報名方式 : 104投遞履歷，若報名成功將於活動前兩個工作日寄出活動細節 - 為何要選擇星展 ．保障底薪不倒扣，優於市場水平NT$33,000 up (高於同業10%~15%) ．完整新進人員訓練與回訓課程 ．新人目標可享3個月折扣期，新人更易達標領獎金 ．到職即享 14 天年假 ．4 萬元彈性福利金 ．員工認股計畫，3 年配股25% - 本場次活動為徵才說明會，事業群主管親臨分享職缺優勢和發展。當天面試後，三天內通知面談結果

【About DBS】 星展銀行總部位於新加坡，是亞洲最大的金融集團之一。 2023 年購入台灣花旗消費金融業務後，星展即成為台灣最大外商銀行。目前已蟬聯五年「世界最佳銀行」的獎項，以及「全球最佳數碼銀行獎 」，打破傳統金融銀行的框架，持續發展數位創新，集團文化也鼓勵員工個人發展，提供豐富的資源和福利。 目前我們正在召集一群優秀的 Taiwan Tech Talents，與我們一起成為 Best Bank for a Better World! 【您可能會想知道】 • 入職即享年假最低 14 天+1 天 Birthday Holiday (未滿一年按比例計算) • 到職即享萬元的彈性補助金，可用於家族旅遊或多項生活津貼 • 完整培訓和新人訓練 【工作內容】 1. Perform the order placement verification for daily UT(Unit Trust) transaction include Subscription / Redemption / Switch 　執行每日單位信託基金（UT）交易下單的核對作業，包括申購、贖回與轉換。 2. Perform reconciliation and distribution processes for UT corporate actions such as dividends, mergers, and liquidations 　處理 UT 的公司行為，包括股利配發、合併、清算等的對帳與分配作業。 3. Perform settlement processes verification with the Fund house, including onshore and offshore settlements 　與基金公司確認結算流程，包括國內與境外基金的交割核對。 4. Prepare regulatory reporting data of FSC/TA/CBC reporting. 　編製主管機關所需報表資料，例如金管會（FSC）、信託業協會（TA）、中央銀行（CBC）。 5. Verify daily accounting entries 　核對每日會計分錄。 6. Collaborate with stakeholders for assigned projects, including the Product team, IT, and Branch. 　與內部各部門合作推動專案，包括產品、資訊與分行等單位。 7. Support to communicate with Test Leads and scrum master to run the project in an agile way 　配合測試主管與敏捷專案負責人（Scrum Master）執行專案管理。 8. Support end to end UAT testing, data verification and result validation before project sign-off 　支援完整的使用者驗收測試（UAT），包含資料核對與結果驗證，確保專案上線前無誤。 9. Conduct the relevent training with staff for project delivery 　針對專案上線進行內部同仁訓練。 10. Assist in UAT issue log, tracking, testing, re-testing and consolidation report. 　協助整理 UAT 測試問題紀錄、追蹤、再測試與總結報告。 11. Trouble shooting for customer complaints, resolving production incidents 　處理客戶申訴與系統異常事件。 12. Communicate with the Fund house to handle exceptional cases in the trade settlement process. 　與基金公司溝通處理交易交割流程中的特殊案例。

Business Function: Group Technology and Operations (T&O) enables and empowers the bank with an efficient, nimble and resilient infrastructure through a strategic focus on productivity, quality & control, technology, people capability and innovation. In Group T&O, we manage the majority of the Bank's operational processes and inspire to delight our business partners through our multiple banking delivery channels. Job Description: Credit/Debit card Dispute & chargeback processing : 1. Handling and communication with Chiness-speaking of disputed credit card customer accounts. 2. Correspondence and communication with international card-issuing organizations 3. Data review, filing, document charging, and cross-department communication. 4. Other tasks assigned by supervisors.

• 授信及非授信偽冒案件調查與管理 • 數位金融偽冒案件調查與管理 • 不法金流案件調查與管理 • 偽冒/防詐風險控管有關之教育訓練及專案執行 • 支援客戶服務、客戶資料核對/處理/維護、帳務問題處理 • 協助專案的規劃、執行與追蹤檢討。 • 進行數據分析及管理 • 檢警調與金融同業關係維護

【加入滙豐 成就職涯】 我們理想遠大，加入滙豐，您將成就更多！ 如果您正在尋找能讓你更加突出的事業，加入滙豐，發揮您的潛能，讓您更加耀眼。 If you're looking for a career that will help you to stand out, join HSBC and fulfill your potential. HSBC作為全球最大金融服務機構之一，我們不僅提供多樣化的金融商品服務，也提供跨國多元之職涯發展機會。不論您現在正在尋找工作機會、或者渴望未來轉換職涯跑道，我們誠摯歡迎對金融產業有熱情、有抱負的您加入HSBC Taiwan Talent Community，接收HSBC第一手職缺及職涯相關消息！ 請立即複製以下連結，註冊加入HSBC Taiwan Talent Community！ https://mycareer.hsbc.com/en_GB/talentcommunity?pipelineId=2455 The Global Sanctions Policy mandates that all customers are screened at on-boarding and periodic intervals, following changes to customer information and when the Official Lists and other applicable Local Lists are updated. 1. Investigate and disposition Name Screening alerts on customer level and connected party level triggered by automated system and manual report in accordance with approved procedures and Global or/ and local regulatory requirements. 2. Manage intake and triage for all case leads and enquiries through a global Oracle Watchlist Screening (OWS) Case Management system and coordinate investigative activity at country, produce case output to drive action by internal risk and control owners, including discounting the alert at the first instance as a False Positive, to determine whether the alert is a Potential / Exact Match, determine whether an RFI should be raised via the RFI lifecycle or otherwise requires escalation to Level 3, etc. 3. Participate in ad-hoc tasks and Sanctions/PEP/AML/CTF/Exits projects which may include gather information for risk assessment and regulatory examinations. And some MI and other required reports are also included to facilitate tracking.

Due Diligence and Referential Function Mandates • Ensure full compliance of KYC files with internal policies, procedures, and quality standards before final validation or approval. • Perform data control and KYC file review: validate data entry in tools and check documentation for format, completeness, and accuracy. • Act as a subject matter expert to support the KYC Due Diligence team and escalate identified risks or blocking points. • Liaise with Compliance, Relationship Managers, and other internal stakeholders for coordination of KYC approval. • Coordinate and support Client Acceptance Committee (CAC) preparation for cases under scope. • Monitor and follow up on pending conditions for onboarding or review (e.g., legal documents, FATCA/AEOI classification, SUN alerts). • Ensure smooth implementation of KYC-related policies and procedures. • Safeguard client legal files and ensure timely sharing of referential guidelines with the team. Regulatory Reporting Governance (“RR”) • Ensure compliance with regulatory requirements (e.g., FATCA, AEOI) and internal Client Management Guidelines. • Contribute to governance of static data creation and maintenance, ensuring alignment with global standards. • Support data quality initiatives and reconciliation efforts in partnership with Global Coordination and Compliance. Permanent Control • Monitor quality of KYC files and contribute to control reviews (e.g., Compliance reviews). • Raise alerts to line management for any data inconsistency, risk, or irregularities identified in client documentation. • Contribute to the delivery of monthly KPIs and quality reports for management. • Provide input into root cause analysis and contribute to action plans to prevent recurrence of recurring issues. • Contribute to the bank’s permanent control framework through control activities and documentation upkeep. Project Related • Participate in process improvement initiatives (local/regional/global), including enhancements to workflow, systems, and UATs. • Contribute to the creation and update of training materials, procedures, and compliance policy documentation. • Coordinate with internal stakeholders for new onboarding activities and implementation of new requirements.

【加入滙豐 成就職涯】 我們理想遠大，加入滙豐，您將成就更多！ 如果您正在尋找能讓你更加突出的事業，加入滙豐，發揮您的潛能，讓您更加耀眼。 If you're looking for a career that will help you to stand out, join HSBC and fulfill your potential. HSBC作為全球最大金融服務機構之一，我們不僅提供多樣化的金融商品服務，也提供跨國多元之職涯發展機會。不論您現在正在尋找工作機會、或者渴望未來轉換職涯跑道，我們誠摯歡迎對金融產業有熱情、有抱負的您加入HSBC Taiwan Talent Community，接收HSBC第一手職缺及職涯相關消息！ 請立即複製以下連結，註冊加入HSBC Taiwan Talent Community！ https://mycareer.hsbc.com/en_GB/talentcommunity?pipelineId=2455 Group Chief Operating Office is a pivotal part of the Group, providing essential operational and technical support to our global businesses and helping improve customer service and efficiency. Group Chief Operating Office combines global expertise and technology to help keep us ahead of the competition. · People responsibility: N · Report to: Banking Operations Manager · Job Content: 1. Undertake / provide trust accounting (opening, servicing, closing) activities for WPB customers. 2. Control/ manage and ensure transactions quality assurance. 3. Perform productive and value added services. 4.Process the daily operation in the corporate security section and ensure that all security documents required from Wholesales customers are perfect and kept in good order to provide optimum security for the Bank. 5.To maintain HSBC internal and external standard, including timely implementation of internal & external audit points together with any issues raised by external regulators & Group Compliance Policy, to be aware of the Operational Risk (People, Process, System and external Event), and to ensure that all actions during the employment with HSBC take account of the likelihood of operational risk occurring.

【About DBS】 星展銀行總部位於新加坡，是亞洲最大的金融集團之一。 2023 年購入台灣花旗消費金融業務後，星展即成為台灣最大外商銀行。目前已蟬聯五年「世界最佳銀行」的獎項，以及「全球最佳數碼銀行獎 」，打破傳統金融銀行的框架，持續發展數位創新，集團文化也鼓勵員工個人發展，提供豐富的資源和福利。 目前我們正在召集一群優秀的 Taiwan Tech Talents，與我們一起成為 Best Bank for a Better World! 【您可能會想知道】 • 入職即享年假最低 14 天+1 天 Birthday Holiday (未滿一年按比例計算) • 到職即享萬元的彈性補助金，可用於家族旅遊或多項生活津貼 • 完整培訓和新人訓練 【工作內容】 1. To perform the distribution process for SN/Equity/ETF transaction include Subscription/Redemption. 　處理結構型商品（SN）、股票（Equity）、ETF 的申購與贖回分配流程。 2. To perform distribution process for SN/Equity/ETF dividend / coupon payment. 　執行上述商品的股息／利息配發作業。 3. To perform Settlement instruction with custodian bank / broker. 　與保管銀行／券商對接交割指示，處理交割流程。 4. To prepare regulatory reporting data of OTC/TA/CBC Media reporting. 　準備主管機關所需報表資料，如：OTC/TA/CBC。 5. To perform Corporation event handling including issuer call, coupon payment, stock split/Reverse Stock Split.etc. 　處理公司行為，如債券到期（發行人贖回）、利息配發、股票分割／反分割等。 6. Account entry booking for Investment product. 　為投資商品建立會計分錄，帳務入帳處理。 7. Co-working with stakeholders, such as Product team, IT, Branch etc. for assigned project E2E process design 　與產品、資訊、分行等單位合作，設計端對端（E2E）流程。 8. Support to communicate with Test Leads and scrum master to run the project in an agile way 　支援敏捷專案管理，與測試主管與 Scrum Master 協作。 9. Support end to end UAT testing, data verification and result validation before project sign-off 　支援使用者驗收測試（UAT）、資料驗證與結果確認。 10. Assist in UAT issue log, tracking, testing, re-testing and consolidation report. 　協助記錄與追蹤 UAT 問題、測試、回測並撰寫測試報告。 11. Assist in resolving production incidents. 　協助處理系統或交易的實務異常事件。

1. 提供既有信貸客戶來電各項貸後諮詢服務、產品解說及關係維護，並適時進行推廣。 2. 各項信貸專案推廣及拓展既有信貸增貸作業

【Business Function】 As the leading bank in Asia, DBS Consumer Banking Group is in a unique position to help our customers realize their dreams and ambitions. As a market leader in the consumer banking business, DBS has a full spectrum of products and services, including deposits, investments, insurance, mortgages, credit cards and personal loans, to help our customers realize their dreams and aspirations at every life stage. Our financial solutions are not only the best in the business – they were made just right for you. 【Job Description】 1. 依照客戶需求推薦信用卡產品。 2. 地點很自由，可選擇跑攤駐點、企業團辦-到公司辦說明會還是掃街陌開。 3. 提供完整的教育訓練，新手沒關係，有團隊協助，上手很快速。 4. 外商福利好，第一年即享14天年假，讓你兼顧工作與生活。 5. 上班時間不固定，排班、輪休 。 < 申請流程 > 1.　複製以下DBS官方網站連結，註冊帳號密碼後，點選「線上應徵」進行第二階段申請【信用卡業務專員】：https://dbs.taleo.net/careersection/dbs_professional_hires_career_section/jobdetail.ftl?job=230000CU&tz=GMT%2B08%3A00&tzname=Asia%2FTaipei

【加入滙豐 成就職涯】 我們理想遠大，加入滙豐，您將成就更多！ 如果您正在尋找能讓你更加突出的事業，加入滙豐，發揮您的潛能，讓您更加耀眼。 If you're looking for a career that will help you to stand out, join HSBC and fulfill your potential. HSBC作為全球最大金融服務機構之一，我們不僅提供多樣化的金融商品服務，也提供跨國多元之職涯發展機會。不論您現在正在尋找工作機會、或者渴望未來轉換職涯跑道，我們誠摯歡迎對金融產業有熱情、有抱負的您加入HSBC Taiwan Talent Community，接收HSBC第一手職缺及職涯相關消息！ 請立即複製以下連結，註冊加入HSBC Taiwan Talent Community！ https://mycareer.hsbc.com/en_GB/talentcommunity?pipelineId=2455 Group Chief Operating Office is a pivotal part of the Group, providing essential operational and technical support to our global businesses and helping improve customer service and efficiency. Group Chief Operating Office combines global expertise and technology to help keep us ahead of the competition. · People responsibility: N · Report to: Banking Operations Manager · Job Content: 1. Undertake / provide trust accounting (opening, servicing, closing) activities for WPB customers. 2. Control/ manage and ensure transactions quality assurance. 3. Perform productive and value added services. 4.Process the daily operation in the corporate security section and ensure that all security documents required from Wholesales customers are perfect and kept in good order to provide optimum security for the Bank. 5.To maintain HSBC internal and external standard, including timely implementation of internal & external audit points together with any issues raised by external regulators & Group Compliance Policy, to be aware of the Operational Risk (People, Process, System and external Event), and to ensure that all actions during the employment with HSBC take account of the likelihood of operational risk occurring.

【加入滙豐 成就職涯】 我們理想遠大，加入滙豐，您將成就更多！ 如果您正在尋找能讓你更加突出的事業，加入滙豐，發揮您的潛能，讓您更加耀眼。 If you're looking for a career that will help you to stand out, join HSBC and fulfill your potential. HSBC作為全球最大金融服務機構之一，我們不僅提供多樣化的金融商品服務，也提供跨國多元之職涯發展機會。不論您現在正在尋找工作機會、或者渴望未來轉換職涯跑道，我們誠摯歡迎對金融產業有熱情、有抱負的您加入HSBC Taiwan Talent Community，接收HSBC第一手職缺及職涯相關消息！ 請立即複製以下連結，註冊加入HSBC Taiwan Talent Community！ https://mycareer.hsbc.com/en_GB/talentcommunity?pipelineId=2455 Global Risk is a thriving and expert risk management function supporting HSBC globally with all aspects of risk management. The team actively manages a varied and dynamic range of risk types, including security, fraud, information security, contingency, geopolitical, operational, credit, pension, insurance, compliance, regulatory, market and reputation risks. All parts of the Global Risk team use their skills, insight and integrity to handle established threats and those they see emerging, acting to protect and enable HSBC to deliver sustainable growth. · People responsibility: N · Report to: SVP Credit Risk Analysis · Job content: This is a key role on the Credit Risk Analysis team for HSBC retail lending reporting and analytics. 1. Initiate and develop quality analytical reports for strategy and decision making on retail lending portfolios, including mortgage, credit card, personal loan and overdraft. 2. Familiar with regulations, standards, policies and regional guidance to ensure the compliance of reporting requirements. 3. Maintain effective management information process to fulfill various reporting requests. 4. Co-ordinate and manage projects with local or regional counterparty on project relate assignments such as Basel III reform, IFRS9 model development, risk tier analysis, climate change stress testing and data integration projects etc. 5. Build and maintain good working relations within the risk function, business teams and other internal/external stakeholders.

【工作內容】 -負責處理金融市場產品（如外匯、債券、衍生性商品等）的交割作業，確保交割清算及帳務之正確性。 -與交易對手、保管機構、經紀商、總行/分行等溝通確認交易明細。 -核對交易系統與確認文件，確保交易資訊正確無誤（Trade Matching）。 -編製內部/主管機關規定之各項申報與報表。 -及時完成日常任務。 -專案及主管交辦事項。

At Citi, we get to connect millions of people across hundreds of cities and countries every day. And we've been doing it for more than 200 years. We do this through our unparalleled global network. We provide a broad range of financial services and products to our clients – whether they be consumers, corporations, governments or institutions – to help them meet their biggest opportunities and face the world's toughest challenges. Shape your Career with Citi Citi’s Securities Services (SS) supports our clients’ business by drawing on the strength of our unmatched global footprint, which provides them with access to local expertise and scalable solutions to support their ambitions. We’re currently looking for a high caliber professional to join our team as Securities & Derivatives Representative, Taipei, Hybrid based in Taipei, Taiwan. The Securities & Derivatives Rep is an entry level position responsible for processing orders and transactions originating from trading desks and branch offices in coordination with the Operations - Transaction Services team. The overall objective of this role is to assist in the clearance, settlement and investigation of client securities and derivatives transactions. Responsibilities: Identify and implement process improves of the securities and derivatives settlement process using data analysis tools and methodologies Complete operational tasks focused on administering defined procedures, analyses and report preparation Analyze data and make recommendations for the launch of new products and services or upgraded platforms Minimize risk to the bank by monitoring errors and suggesting solutions that reduce errors, and ensure adherence to audit and control policies Identify policy gaps and propose efforts to streamline the securities and derivatives settlement processes Monitor, analyze and evaluate processes and data to ensure the accuracy and quality of completed settlement tasks Maintain an in-depth understanding of how the team collaborates with other areas in accomplishing assigned tasks Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

1. 信用卡作業包含交易清算, 還款, 帳單處理, 特店付款作業, 及會計帳務處理 2. 信用卡申請審核作業 (如收入文件審核計算, 授信規定檢核, 客戶盡職審查, 電話照會) 3. 協助內部系統測試專案

【Business Function】 As the leading bank in Asia, DBS Consumer Banking Group is in a unique position to help our customers realize their dreams and ambitions. As a market leader in the consumer banking business, DBS has a full spectrum of products and services, including deposits, investments, insurance, mortgages, credit cards and personal loans, to help our customers realize their dreams and aspirations at every life stage. Our financial solutions are not only the best in the business – they were made just right for you. 【Job Description】 1. 依照客戶需求推薦信用卡產品。 2. 地點很自由，可選擇跑攤駐點、企業團辦-到公司辦說明會還是掃街陌開。 3. 提供完整的教育訓練，新手沒關係，有團隊協助，上手很快速。 4. 外商福利好，第一年即享14天年假，讓你兼顧工作與生活。 5. 上班時間不固定，排班、輪休 。 < 申請流程 > 1.　複製以下DBS官方網站連結，註冊帳號密碼後，點選「線上應徵」進行第二階段申請【信用卡業務專員】：https://dbs.taleo.net/careersection/dbs_professional_hires_career_section/jobdetail.ftl?job=230000CU&tz=GMT%2B08%3A00&tzname=Asia%2FTaipei

1) 電話聯絡線上服務和客戶關係維護，說明信用卡權益和活動。 2) 客戶來電接聽並處理信用卡挽留。 3) 解決客戶於信用卡商品等相關問題和要求。 4) 公司各項專案外撥活動通知。