Risk and Compliance Manager
Risk and Compliance Manager
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Salary Not Disclosed
1 Vacancy
Job Description
ACG2928JOB
Our client is a leading company specialized in financial services who is looking for a qualified candidate to join their firm.
Compliance
Execute continuous and periodic compliance monitoring in accordance with the Compliance Monitoring Plan to ensure adherence to regulatory requirements and internal policies/guidelines identify and prevent instances of non-compliance or breaches and provide recommendations for corrective measures or improvements to relevant departments within the Company.
Lead the daily monitoring of investment activities using internal systems and compliance reports. This includes collaborating with the Regional Rule Coding Team to implement or update necessary rules. Routinely access and review the compliance workbench promptly notifying Fund Managers of any potential violations or irregularities and ensuring these cases are properly escalated and tracked.
Promote and reinforce a robust compliance culture throughout the organization.
Deliver training programs for Local Business Units (LBUs) covering areas such as Anti-Bribery and Corruption Conflicts of Interest Anti-Money Laundering and Personal Investment Declarations among others.
Regularly review and update Standard Operating Procedures (SOPs) Procedures and Policies to ensure alignment with the holding company s regulations and prevailing legal requirements.
Assist the Head of Risk and Compliance to uphold and effectively execute compliance responsibilities within the Risk and Compliance Line (RCL).
Risk
Assist the Head of Risk and Compliance Line (RCL) in the monitoring and reporting of matters related to Risk Management.
Timely identify and update risk profiles and support Local Business Units (LBUs) in conducting risk assessments and implementing control measures.
Conduct risk monitoring training sessions for LBUs as applicable.
Other Accountability
Provide assistance to the Head of Risk and Compliance Line (RCL) in preparing and submitting reports to Clients local regulatory bodies and the ES Head Office as well as coordinating activities during audits inspections and quality assurance reviews.
Perform additional duties as assigned by the Head of RCL and/or the Company.
Requirements
- Possess a Bachelors degree in Economics Finance Auditing Accounting or a related field. Professional certifications such as CPA ACCA or other advanced qualifications are preferred.
Have between 5 to 7 years of professional experience in Insurance Finance Securities or Fund Management including a minimum of 1 year in Compliance Auditing or Accounting roles.
Experience with operational procedures and/or investment guidelines is considered an advantage.
Demonstrate a business-oriented mindset with a strong commitment to support organizational objectives.
Preferably hold the (i) Certificate on Basic Securities and Securities Market and (ii) Certificate on the Law on Securities.
Exhibit strong influencing capabilities and the ability to engage effectively with colleagues earning their respect.
Possess excellent analytical and problem-solving skills with the ability to make balanced and independent judgments interpret laws and ensure proper implementation.
Communicate proficiently in both English and Vietnamese.
Display effective teamwork skills and a collaborative attitude.
Contact: Phuong Tran
Due to the immense number of applications only shortlisted candidates will be contacted.
Employment Type
Full Time
