Senior Legal & Compliance

I/ Job Overview:

•   Lead and oversee the Legal & Compliance function of the Company, ensuring that the Company managed funds, investment portfolios and related transactions comply with applicable laws, regulations and internal governance requirements;

•   Establish, maintain and continuously improve the Company's legal and regulatory compliance framework, with a focus on securities, fund management, investment, corporate governance, AML/CFT and personal data protection;

•   Provide legal and regulatory support for the establishment, operation, restructuring and termination of managed funds, investment portfolios and material investment transactions;

•   Act as a key contact point with the State Securities Commission of Vietnam (SSC), custodian banks, securities companies, auditors, external legal advisers and other relevant service providers;

•   Oversee IT governance, data security and technology-related compliance from a legal, regulatory.

II/ Responsibilities:

1.   Legal & Fund Management

•   Advise the Executive Board and relevant departments on legal and regulatory matters relating to the Company's business activities;

•   Review and advise on contracts, agreements, transaction documents, internal regulations and other legal documents of the Company;

•   Lead legal work relating to the establishment, amendment, operation, capital increase/decrease, extension, restructuring, liquidation and termination of managed funds;

•   Review and prepare legal documents relating to investor meetings, fund governance, resolutions, distributions and other corporate/fund actions;

•   Provide legal support for managed investment portfolios and investment transactions, including transaction documentation, legal due diligence and legal risk assessment;

•   Identify, assess and manage legal risks and conflicts of interest arising from the Company's and the Funds activities;

•   Manage legal templates, contract libraries, legal checklists and key corporate/fund legal records.

2.   Regulatory Compliance

•   Develop, maintain and implement the Company's compliance framework, policies, procedures and compliance monitoring program;

•   Monitor changes in laws and regulations applicable to the Company and managed funds; assess their impact and coordinate implementation with relevant departments;

•   Ensure ongoing compliance with regulations on securities, fund management, investment, corporate governance and other applicable regulations;

•   Prepare, review and coordinate periodic, ad-hoc and event-driven reports, notifications and disclosures to the SSC and other regulatory authorities.

3.   AML/KYC, Data Protection, Governance

•   Oversee the Company's compliance framework, including AML/CFT, KYC, conflict of interest, personal data protection and other regulatory compliance matters;

•   Develop, review and update internal regulations, policies, procedures and governance documents of the Company;

•   Coordinate regulatory reporting, compliance reviews, risk assessments and internal training; work with Internal Control/Internal Audit and relevant departments to strengthen the Company's control framework;

•   Report material legal and compliance matters to the Executive Board and/or Board of Directors.

4.   IT Governance & Team Management

•   Oversee IT governance from a legal, compliance and operational risk perspective, including access control, cybersecurity, data protection, information security and business continuity;

•   Coordinate with external service providers regarding technology systems, business applications and related compliance requirements;

•   Perform other duties assigned by the Executive Board and Board of Directors.

III/ Qualifications and Experience Requirements:

•   Bachelor's degree or higher in Law; lawyer qualification or postgraduate degree in Law, Finance or Business is an advantage;

•   At least 4–5 years of relevant experience in legal and/or compliance, preferably at a fund management company, securities firm, bank, financial institution or law firm advising financial-sector clients, including experience in a senior or supervisory role;

•   Solid knowledge of securities, fund management, investment, corporate and regulatory compliance laws and regulations;

•   Practical experience in contract review, corporate governance, regulatory reporting, AML/KYC, conflict of interest and personal data protection;

•   Fund management practicing certificate preferred;

Knowledge of IT governance, information security, cybersecurity and data protection is a strong advantage.