**Summary of Role** Based in Taipei and employed by Neuberger Berman Taiwan (SITE) Limited (“ **NB Taiwan** ”), the Compliance Officer will be a member of Neuberger Berman’s compliance team (“ **NB Asia Compliance** ”) covering the firm’s business activities and operations across the Asia Pacific (ex China, Japan and Korea) region (“ **NB Asia** ”) and will report to the Senior Compliance Officer for NB Taiwan. As a member of the NB Asia Compliance team, he/she will be a part of and work closely with Neuberger Berman’s Global Compliance team on all matters related to the development, implementation and ongoing maintenance of NB Asia’s compliance risk management framework, as well as partnering closely with the NB Asia Legal team. **Responsibilities:** + Assisting monitors regulatory changes and determine the impact to NB Taiwan. Lead / support the implementation of regulatory changes + Gathering and providing feedback on public consultation papers, SITCA survey thereby influencing the regulatory decision-making processes. + Ensure prompt and effective communication of regulatory requirements, licensing matters, including changes to regional compliance policies to Senior Management and relevant stakeholders across the Group. + Keeping apprised of and reviewing existing, changing and new laws, rules and regulations in order to determine applicability and impact to NB Taiwan, and advising NB Taiwan staff of the same. + Assisting in the development, implementation and ongoing administration (including updating) of compliance policies and procedures to reflect existing, changing and new laws, rules and regulations in Taiwan. + Partnering with NB Taiwan staff in providing guidance and education regarding applicable compliance policies and procedures, and assisting with the preparation and delivery of compliance training to ensure all NB Taiwan staff are aware of and familiar with such compliance policies and procedures, and applicable laws, rules and regulations. + Reviewing and approving marketing materials. + Overseeing the onboarding and ongoing review of client accounts, including, where applicable and to the extent appropriate, ensuring that AML, KYC and suitability checks have been undertaken and are up to date. + Assisting with all matters related to NB Taiwan’s regulated activities, including: preparing and handling registrations with the regulator(s), and monitoring the ongoing status of NB Taiwan’s and its employees’ licensing and registrations; assisting with regulatory examinations; and, undertaking regulatory and trade reporting. + Contributing to and fostering an unfettered environment for the appropriate escalation and resolution of breaches, errors and complaints. + Assist in responding to requests from both internal and external auditors. + Responsible for Incoming Official Letter circulation and release Outgoing Official Letter + Providing ad hoc compliance advice and ongoing consulting and handling ad hoc compliance matters. **Requirements:** + Undergraduate degree. + Business level fluency in reading, writing and speaking both Mandarin and English. + 5 to 8 years’ experience in the fund management industry (SITE and/or SICE), the majority (if not all) of which as a compliance professional and/or internal auditor. + Sound knowledge and understanding of the fund management regulatory environment, and the laws, rules and regulations applicable to a SITE and/or SICE, in Taiwan. + Unquestionable ethics and integrity, with the ability to apply a commercial, pragmatic and/risk-based approach. + Strong organizational and time management skills, with an ability to multi-task and a keen attention to detail. + Strong interpersonal and communication skills, with a confident, engaging and outgoing personality, and an enthusiastic team-player. + Self-motivated, willing to use initiative and able to work autonomously, with a minimum level of supervision (if needed). + Able to work under pressure and in a fast paced environment. _Neuberger Berman is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact_ _onlineaccommodations@nb.com_ _._ _Learn about the Applicant Privacy Notice (https://www.nb.com/en/global/disclosure-privacy-policy) ._ Founded in 1939, Neuberger Berman is a private, independent, employee-owned investment manager. From offices in 39 cities worldwide, the firm manages $515 billion in client assets (as of March 31, 2025) across a range of strategies—including equity, fixed income, quantitative and multi-asset class, private equity and hedge funds—on behalf of institutions, advisors and individual investors globally. Tenured, stable and long-term in focus, the firm has built a diverse team—including 760-plus investment professionals and more than 2,800 employees in total—united in their commitment to delivering client outcomes and investment excellence. It is our people who define our culture and have enabled us to be recognized by _Pensions & Investments_ as the first or second "Best Place to Work in Money Management” for last eight consecutive years (firms with 1,000+ employees). Neuberger Berman believes strongly that all employees are entitled to be treated with respect and dignity, and to work in a professional and safe environment. These values are the cornerstone of our firm. We prohibit any form of harassment, whether mental, verbal or physical. We do not tolerate the support of terrorist groups, acts of terrorism, or threats of violence. All who wish to be employed by the firm are expected to uphold these principles. For important disclosures: http://www.nb.com/linkedin