Compliance Manager / Senior Manager (RCL Team)

📍 Location: District 1, Ho Chi Minh City

🏢 Industry: Financial Services / Asset Management

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.