Senior Compliance Officer

Job Description

Company Overview
Our client is a leading foreign securities company who is looking for Senior Compliance Officer. The job holder will assist Compliance Manager to develop and implement the compliance framework to ensure the overall supervision of compliance with the relevant regulatory rules, regulations, guidelines; internal policies and procedures as well as the roll out and compliance with the regional guidelines, policies and procedures.
Job location: Ho Chi Minh City, Vietnam

Job Description
- Report and response to regulators as regulations;
- Assist Compliance Manager to report/ response to Regional/ Management Board on Compliance matters;
- Assist Compliance Manager to implement AML/CFT program within the entity as regulatory requirements;
- Monitor the compliance of internal policies i.e. GPI, WL/RL/BL, Chinese Wall, AML/CFT;
- Conduct trading/market surveillance;
- Review activities of branches;
- Investigate fraud of staff;
- Support on new/enhanced product;
- Disseminate regulatory development/ updates to relevant departments and conduct training if necessary;
- Other tasks assigned by Compliance Manager.

- Bachelor degree in Business / Accounting / Auditing or Law;
- Gained certificate of The Basic Knowledge on Securities and Securities Market; and certification on Applicable Laws and Regulation in Securities Industry from the Securities Research and Training Center of The State Securities Commission.
- From 3 years similar working experience

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