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JOB PURPOSE
- The job holder is responsible for coordinating and cooperating with other functional units to ensure compliance with internal regulations of company as well as of external management agencies, anti money laundering (AML), FATCA and other legislation, advising on ethical and governance issues to keep up to date with regulatory agency requirements
- Acting as a focal point to assess and control operational risks and ensuring compliance with all operational risk limits.
KEY ACCOUNTABILITIES
STRATEGY và IMPLEMENTATION
- Develop policies to support functional units in compliance, in line with relevant regulations and company's strategy
- Set standards that functions must follow for the purpose of complying with anti-money laundering (AML), FATCA and other regulatory and government regulations
Actively support business strategy, plans and values, contributing to build a high-performance culture to assist company in achieving the goals in a fair and compliant manner
MANAGEMENT AND COMPLIANCE
- Focus on business fundamentals and ensure the base principals are applied throughout the division, such as: AML/KYC, compliance with laws and regulations, training and implementation of the Code of Ethics and Conduct (COEC), delegation on user access...
- Review operational losses, monitor remediation plans and take preventive measures
- Identify and eliminate business problems/barriers through the smooth handling of issues
- Provides an overview of the governance and reporting environment of company's business, operating at a high level and in compliance with all regulations, policies, internal processes and laws
- Ensure business continuity with appropriate approval authority
- Lead business audit activities, ensure readiness for activities before and during the audit, resolve and comply with all audit findings
- Effectively implementing Compliance Risk Management, proactively identifying and mitigating risks (Operational risk, customer risk management, governance standards and risk self-assessment (RSC), Customer Due Diligence)
- Periodically review the effectiveness of the organizational structure
- Responsible for providing timely, professional advice and guidance (e.g. attending meetings, etc.) to functional units to ensure compliance with company's policies and procedures and relevant regulatory/regulatory frameworks
- Monitor existing checkpoints and write reports/reviews leadership teams and regulatory agencies
- Assist in the coordination, preparation and submission of compliance-related reports and assessments as required.
- Review, coordinate and provide compliance support
- Coordinate and provide compliance support related to initiatives and projects
- Review and update compliance policies and procedures
- Coordinate and conduct compliance training
EFFECTIVE COOPERATION
- Coordinate and work closely with all functional units to comply with standards/regulations such as AML/FATCA, legal regulations and operational risk standards.
- Support in all administrative activities including but not limited to: training and development, composing compliance documents, coordinating meetings and any ad-hoc projects related to the division
- Assist in disseminating warnings, circulars and other announcements by regulators including impact awareness