Expert, Compliance and Assurance (50000314)

Job Purpose

'- The job holder is responsible for coordinating and cooperating with other functional units in GTS division to ensure compliance with internal regulations of TCB as well as of external management agencies, anti money laundering (AML), FATCA and other legislation, advising on ethical and governance issues to keep GTS up to date with regulatory agency requirements

- Acting as a focal point to assess and control operational risks at GTS and ensuring GTS compliance with all operational risk limits.

Key Accountabilities (1)

STRATEGY và IMPLEMENTATION

- Develop policies to support GTS functional units in compliance, in line with relevant regulations and TCB's strategy

- Set standards that other GTS 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 GTS in achieving the division goals in a fair and compliant manner

Key Accountabilities (2)

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 GTS'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 in the GTS Division, 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 other GTS functional units to ensure compliance with TCB's policies and procedures and relevant regulatory/regulatory frameworks

- Monitor existing checkpoints and write reports/reviews for Chief GTS Officer, Corporate Assurance and regulatory agencies

- Assist in the coordination, preparation and submission of compliance-related reports and assessments as required.

- Review, coordinate and provide compliance support for GTS-related complaints

- Coordinate and provide compliance support related to initiatives and projects

- Review and update compliance policies and procedures

- Coordinate and conduct compliance training

Key Accountabilities (3)

EFFECTIVE COOPERATION

- Coordinate and work closely with all GTS functional units to comply with standards/regulations such as AML/FATCA, legal regulations and operational risk standards.

- Support GTS 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

Key Relationships - Direct Manager

Senior Manager, Compliance and Assurance

Key Relationships - Direct Reports

Key Relationships - Internal Stakeholders

Key Relationships - External Stakeholders

Success Profile - Qualification and Experiences

- 7 years of experience or understanding of banking and financial rules and regulations in Vietnam and the region (Experience in control / GTS activities / preferable experience in legal or institutional management)

- University degree in any field, preferable in law

- Willing to learn the commercial and operational aspects of internal stakeholders, and capable of giving sound and factual advice

- English: 650 TOEIC or according to TCB regulations from time to time