Senior Compliance Officer

  • Job code:
  • Job type: Full time
  • Experience: 3 Year
  • Category: Administration / Assistant
  • Industry: Financial Services
  • Posted on: 27-08-2020
  • Location: Ho Chi Minh
  • Salary: 35.000.000 VNĐ
  • Expiry date:

Assist to 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, including:
– 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;

Requirments:

– Graduated university with majoring in Business / Accounting / Auditing or Law;
– Achieving certification on 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.
– 3 years experience working for securities company.

Salary : 30 – 35mil

Location : HCMC

Industry : Financial Services

Contact

info@ckhrconsulting.vn
hoant@ckhrconsulting.vn
Phone: 0986 855 503

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