Ally Liu Email & Phone Number

• Led the creation and development of a new compliance team responsible for overseeing the company's legal affairs and compliance operations despite limited resources and the departureof the previous compliance director.• Conducted internal investigations to identify and resolve operational and legal risks, significantly reducing high-priority incidents.• Facilitated cross-departmental coordination to optimize business operations that reduced project completion times and increased customer satisfaction.• Represented the company in external communications with legal counsel, industry associations and regulatory authorities. Provided legal counsel to the internal departments and board members as needed.• Supported the establishment of an overseas subsidiary as the general partner (GP) for a PE fund and developed business plans for the domestic subsidiary insurance brokerage firm with related administration and reporting.• Aggregated ESG matters, compiled CSR reports, facilitated related communication and coordination, monitored compliance, and filed periodic reports for regulators.• Managed the regulatory and legal aspects of transferring the DS business to the partnering company, successfully lobbied the authority for approval, and collaborated with external counsel to ensure the fair and lawful treatment of laid-off employees.

• Managed legal contracts, advertising materials, and event copy in English and Chinese, demonstrating my bilingual skills and ability to communicate complex legal concepts in a clear and concise manner.• Coordinated compliance adjustments across departments, provided legal consultation, assisted in handling legal disputes, and communicated with regulatory authorities to reduce company risk.• Built relationships with internal teams and provided legal guidance to support project management and marketing efforts. Evaluated new product initiatives and expansion plans for compliance and offered legal risk analysis.• Initiated and conducted subsidiary establishment procedures for business investments, including blockchain and network certification.• Managed tasks for board meetings, shareholder meetings, and other projects or legal matters assigned by management.

(dealing with legal issue for Marketing dept.)

(201805-07 PT job / dealing with legal issue for PM dept.)

• Reviewed legal documents and evaluated contracts for various departments, such as onshore fund investments, securities investment advisory services, and discretionary investments that involved reviewing and revising internal controls and regulations.• Implemented a new communication plan to distribute updated laws and regulations to internal units effectively, increasing employee awareness and reducing compliance violations.• Executed a new self-assessment system with enhanced features, migrated it to a new platform,and ensured smooth rollout and adoption by working closely with external manufacturers. Improving efficiency and accuracy in the identification of regulatory compliance gaps.• Conducted monthly random checks on phone recordings of access persons during transaction periods to prevent conflicts of interest, ensured fund investment compliance, and maintainedtrading market fairness.

Taipei, Taiwan

• Maintained compliance policies by updating them timely and communicating effectively withbusiness units. Internally, ensured rules and regulations were followed and appropriately monitored. Externally, fostered positive relationships with regulatory authorities and addressedtheir inquiries effectively.• Advised business units on new product initiatives and regulatory requirements, preventing costly delays and ensuring compliance with all applicable laws and regulations.• Refined and implemented AML/KYC policies and procedures, and offered regulatory guidance for both front and back offices.• Audited employee accounts monthly for proprietary trading and annually for stock trading to prevent conflicts of interest and maintain market fairness. Conducted compliance self-assessments, training, and communication enhancements.

• Conducted comparative analysis of domestic and international financial regulatory policies and submitted them for reference to financial regulatory authorities. Assisted financial supervisors in enhancing oversight efficiency in the asset management industry.• Enhanced and expanded the operations of the asset management industry, researched Investment Trusts and Advisory Services, and proposed financial regulations and laws.• Conducted on-site inspections and monitored business development of SITCA's membership, including reviewing monthly and annual reports, marketing materials, on/offshore funds applications, and personnel qualifications in the industry.• Trained asset management professionals on self-regulatory standards and Self-disciplinary Rules using engaging case studies to enhance their understanding.• Enhanced compliance awareness of asset management professionals, promoted fund business prosperity, protected investor rights, maintained market stability, and handled investor complaints and disputes.

Managed legal and customer support for banking and financial services clients, including consultation, document review, dispute resolution, and complaint management.

Represented the company in all aspects of legal matters related to auto insurance, from managing litigation and facilitating settlements to negotiating contracts and providing legal advice. Identified affordable repayment solutions for debtors, while preserving creditor rights to achieve fairness and equity, thereby gaining trust and gratitude.