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.