KEY ACCOUNTABILITIES
1.Compliance
- Conduct on-going and periodic monitoring according to Compliance Monitoring Plan to ensure compliance with regulations and internal policies/guidelines, detect/prevent non-compliance/breaches and recommend improvements/rectification actions to departments in the Company.
- Be responsible for daily investment monitoring via system and compliance reports with Investor/Customer/Supervisory Bank and Regulatory body;
- Update and vest Rules/Investment Limits in liaise with Investment Team and Regional Rule Coding Team .
- Provide compliance training for employees
- Update process, procedure for compliance purpose with Group policies and local regulations.
- Enhance and encourage the strong compliance culture across the company.
- AML transaction monitoring and reporting.
- Supervise related depts in reporting with local authorities.
- Support Head of RCL to foster and discharge RCL responsibilities from compliance
- Other tasks as assigned by Head of RCL.
2.Risk
- Identify risks and update risks in line with regulations of Group and applicable regulations.
- Provide training for employees
- Provide support to Head of RCL on monitoring, reporting in relation to Risk Management matter.
- Other Accountability
- Support Head of RLC in reporting to Clients, local regulators, and ES Head Office, coordinating during audit, inspection, quality assurance reviews, conducting compliance training to staff.
- Other duties, as assigned.
QUALIFICATIONS AND EXPERIENCE
- University degree in Auditing/ Accounting and 7- 10 years of compliance experience
- At least 02 (two) years of experience working in compliance dept/unit for financial industries such as insurance, securities, fund management, bank.
- Understand key accounting principle.
- Has business support mindset.
- Working experience in Compliance & systems at asset management firms or security firms.
- Strong influencing skills and ability to engage and win respect from colleagues.
- Strong analytical & problem-solving skills, balanced & independent adjustment, law interpretation and implementation skills.
- Strong communication skills in English & Vietnamese both.
- Teamwork skills and attitude.
