Senior Expert, Compliance and Assurance (50000313)

Job Purpose

- The job holder is responsible for coordinating and cooperating with other functional units in company to ensure compliance with internal regulations as well as of external management agencies, other legislation, advising on ethical and governance issues to keep company up to date with regulatory agency requirements

Key Accountabilities (1)

'STRATEGY và IMPLEMENTATION

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

- Set standards that other units/ functions/ divisions must follow for the purpose of complying with regulatory and government regulations

- Ensure the effective implementaition of the ORME1 model at the business division

- 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

- Review operational losses, monitor remediation plans and take preventive measures

- Identify and lead initiatives to continuously improve the way that business operates

- Identify and eliminate business problems/barriers through the smooth handling of issues

- Follow up with problem solving along with sub-functions in developing innovative processes that meet customer needs and beyond the company's customer centric goals.

- 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, and address 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 ensure compliance with company's policies and procedures and relevant regulatory/regulatory frameworks

- Monitor existing checkpoints and write reports/reviews as needed

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

- Review, coordinate and provide compliance support for related complaints

- Coordinate and provide compliance support related to initiatives and projects

- Review and update operational risk/compliance policies and procedures

- Coordinate and conduct operational risk/compliance training

Key Accountabilities (3)

EFFECTIVE COOPERATION

- Coordinate and work closely with all units to comply with standards/regulations, 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

Key Relationships - Direct Manager

Senior Manager, Compliance and Assurance

Key Relationships - Direct Reports

Key Relationships - Internal Stakeholders

BODs, Executive Management, Risk Department, Internal Audit, Other Units in Company

Key Relationships - External Stakeholders

Regulators (Ministry of Finance, Insurance Authority), External Auditors, Customers, Partners & Vendors, Industry Associations

Success Profile - Qualification and Experiences

'- 12 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(