ROLE:

Reporting to CEO & Eastspring HO Compliance (matrix manager), the Head of RCL will be responsible for all risk, compliance & legal matters of the Company, ensuring business compliance with internal guidelines and regulatory provisions & reports, escalating all non-compliance findings to upper levels.

KEY ACCOUNTABILITIES

1. Compliance

• Monitor, propose amendment and oversee the implementation of all Compliance Policies (“CPs”).

• Review, update, manage and oversee the implementation of the Compliance Monitoring Plan (“CMP”).

• Report all non-compliance issues or findings in timely manner during implementation of the CPs and the CMP.

• Discharge the MLRO accountabilities set out in the Company's AML Policy & Procedures, by assisting line management in identifying and containing money laundering and terrorism financing risks; reporting suspicions and sanctions matches; monitoring the business, procedures and controls; fostering a compliance culture; and optimising relations with the anti-money laundering Authority (SBV).

• Discharge obligations as per local law and Group policies on the role of Company’s Anti-Bribery & Corruption Officer (ABCO).

2. Risk

• Develop and implement an appropriate Risk Framework to meet the minimum standards defined by the Group and local regulators.

• Develop risk information requirements, reporting thresholds and methods for determining priorities.

• Collates, monitor, challenge and test completeness of risk information.

• Identify and assess accumulation of risks across the Company.

• Support and develop liaison with other functions and maintain coordination with Business Line Risk Management and PCA Risk Management, where necessary.

• Report to the Risk Management Committee; Audit Committee; and local regulator on quarterly basis or ad hoc requirement.

• Develop and provide risk management training across the Company.

3. Legal

• Provide legal support to all other functions, including legal advice and review documents/contracts.

• Provide legal support to respective committee such as product committee, negotiated investments.

4. Other Accountabilities

• Manage, prepare and submit all legal and compliance reports to Prudential group (PCA), Eastspring HO Compliance and Vietnamese regulators.

• Coordinate and support all GWIA & QA reviews, track and monitor the implementation of all action items by other functions and report all delay or non-performance of such actions.

• Participate, report and do secretary work in several corporate committees and forums such as Members’ Council, Audit & Compliance Committee, Risk Committee, Outsourcing Committee.

Quarter Public Investment Meeting, Fund Representative Board (FRB), Client’s Investment Committee (PVA QIC).

• Manage relations and work closely with Eastspring HO Compliance in several aspects such as project, training, and queries.

• Manage the team and ensure work assignment within the team runs smoothly and properly.

EXPERIENCE / QUALIFICATIONS

• At least 10 years’ experience in Risk Legal and Compliance function in financial sector.

• University degree in Law. High integrity is a must.

• Strong influencing skills. Ability to engage and win the respect of senior executives.

• Proven experience in developing and implementing in Risk, Compliance & Legal functions.

• A strong team leader with a desire to work collaboratively, committed to knowledge-sharing and transparency.

• Effective communicator with excellent English skills. Highly organised and thorough with strong attention to details.

• Work experience in multinational organisations especially financial groups is highly recommended.

• Strong analytical, problem solving, balanced and independent judgment, law interpretation and implementation skill.