Head of Compliance and Assurance

1 week ago

Hanoi, Hanoi, Vietnam Techcombank Full time

29-May-2023
Head of Compliance and Assurance :

  • Category: Internal Control
  • Job Type:
  • Facility: Legal & Compliance
    Job Purpose:
  • Support and control the compliance of Functions in the company, to ensure that the company's operations comply with the provisions of the law, safe and effective operation.
  • Build and operate the compliance control system in the company.

Key Accountabilities (1):

  • Check and supervise the compliance with legal regulations, the company's charter, decisions of the Board of Directors, regulations, professional processes, risk management processes of the company and relevant departments. and of securities practitioners in the company.

Responsible for:

  • Identify, evaluate and control compliance with the Company's internal document system to ensure legal compliance. Monitor compliance systems throughout the company, and
  • Assess the impact of newly issued legal documents on the company's internal document system.
  • Ensure clear receipt and dissemination of external legal notices, including an assessment of the regulatory impact on the company's relevant products and services. Ensure that affected units take follow-up actions in accordance with new regulations of law.

Key Accountabilities (2):

  • Inspect and supervise the internal compliance with the professional activities of TCBS, IB Division and its member units; closely cooperates with the Legal Department and other departments of Techcombank to ensure that the activities of TCBS, IB Division and its subsidiaries comply with Techcombank's internal policies, regulations, processes and guidelines. and relevant laws and regulations, ensuring that the activities of TCBS, the IB Division and its member units do not affect the reputation and interests of Techcombank.
  • Training employees and related functional areas of TCBS, IB Division and member units in relevant legal knowledge and knowledge on compliance, anti-money laundering and prevention of fraud and transactions insider information and corruption.
  • Legal support or Internal control in managing legal issues arising from violations of regulations or professional ethics or having evidence in case of risks serious risk to the company's reputation to avoid reputational damage.
  • Supervising the calculation and compliance with financial safety regulations;
  • Independently and objectively evaluate all problems arising in the compliance control process, and at the same time give warnings and recommendations to overcome and prevent risks.
  • Training for company employees on compliance.
  • Develop and control compliance with anti-money laundering laws.
  • Perform other related tasks at the request of the leader.

Key Accountabilities (3):

PEOPLE MANAGEMENT

  • Oversee human resources planning and execution (headcount & costs) of their function
  • Attract, onboard and retain the right talents for a high
- performing team

  • Establish and communicate function and individual KRAs/ KPIs, goals, action plan, expectations and results to reporting line
  • Manage function performance & provide feedback regularly (following the annual performance management cycle);
  • Define team's capability requirements and enable team member's professional and personal development through capability assessment, training, coaching & feedback, mentoring, etc.
  • Motivate and recognize team members' contributions towards the team's shared goals
  • Identify and monitor personal, professional development and career advancement of talents in the function
  • Act as a role model and promote corporate culture at function level
  • Understand & communicate relevant HR offerings to team members.

Key Relationships - Direct Manager:

Chief Executive Officer

Key Relationships - Direct Reports:

Senior Officer, Compliance and Assurance

Success Profile - Qualification and Experiences:

  • Have a university or higher degree in banking, finance, foreign trade, auditing, accounting, law. University degree in related Law is preferred.
  • International degree and professional certificate in Auditing/ Internal Control is preferred
  • Professional experience: Having at least 14 years of working experience in Top Law firms, financial institutions (banks / securities companies / fund management companies) in the areas of operation, auditing, accounting, risk;
  • At least 10 years of experience in control/audit.
  • Management experience: At least 10 years of experience in management and administration.
  • Business English standard proficiency as required for the role.
  • Master the principles of auditing, internal control and operating risk management and relevant legal regulations;
  • Have indepth knowledge and experience in the fields of operations, accounting and finance in the Bank/Security Company/QLQ Company;
  • Understand the organization and operation process of investment products

  • Head of Compliance

    1 week ago

    Hanoi, Hanoi, Vietnam Aloha Consulting Group Full time

    Our client is a leading fashion brand in Vietnam who is looking for an experienced talent to join their firm:Establish and build a regulatory system to ensure 100% of contracts are reviewed, and all legal risks are controlled (including contractual and operational legal aspects). Organize and execute projects and specialized initiatives focused on risk...

  • Expert, Operational Risk and Compliance Assurance

    1 week ago

    Hanoi, Hanoi, Vietnam Techcombank Full time

    13-Feb-2023Expert, Operational Risk and Compliance Assurance :Category: Business Banking DivisionJob Type: Facility: Business BankingJob Purpose: Control compliance and operational risks with products and services in the segment in charge, ensureTechcombank's regulations and laws, protect the Bank's and customers' legitimate rights and interests. Control...

  • Head of Compliance

    1 week ago

    Hanoi, Hanoi, Vietnam Aloha Consulting Group Full time

    Our client is a leading finance company in Vietnam who is looking for qualified talent to join their firm:Develop and implement companys compliance strategy, policies, and procedures in line with regulatory requirements, industry standards, and the banks risk management framework. Develop and maintain a comprehensive compliance program that covers all...

  • Head of Legal and Compliance

    1 week ago

    Hanoi, Hanoi, Vietnam Adecco Full time

    Job summary:Adecco's client, a company in the Pharmaceuticals industry, is looking for a Head of legal and compliance working in HanoiResponsibilities:1.Administration and management of the Legal Department: Establish and organize the implementation of the Department's tasks, goals and targets. Guide and train staff to improve their professional expertise...

  • Distribution Compliance Manager

    1 week ago

    Hanoi, Hanoi, Vietnam Bảo Hiểm Nhân Thọ Phú Hưng Full time

    ĐỊA ĐIỂM: Hà Nội Nội dung công việcMô tả công việcJOB PURPOSEAn additional level of manager is needed to handle violations of agent, conduct on-site reviews and implement compliance training programs to the Agency Force. Assist Head Compliance in establishing and enhancing compliance management in the Northern Region.JOB...

  • Head of Financial Crime Risk

    1 week ago

    Hanoi, Hanoi, Vietnam Employment Vietnam Full time

    The primary responsibility of the FCC Risk & Control Head is to assist the Country Director of FCC in fulfilling their accountabilities when the size, complexity, or workload of the business indicates the need for additional resources.Strategy: Support the design of relevant FCC and business processes within the Group/Region/Country/Client Business operating...

  • Head of Training Effectiveness

    1 week ago

    Hanoi, Hanoi, Vietnam Prudential plc Full time

    Head of Training EffectivenessPrudential's purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the...

  • Team Lead/ Senior Officer, Compliance

    1 week ago

    Hanoi, Hanoi, Vietnam Techcombank Full time

    31-May-2023Team Lead/ Senior Officer, Compliance: Category: Corporate Affairs Division Job Type:Facility: Legal & ComplianceJob Purpose:The job holder responsible to implement corporate assurance activities to ensure that the activities of the assigned scope comply with internal and externa regulations and undertake tasks assigned by the Director of...

  • Distribution Compliance Officer

    1 week ago

    Hanoi, Hanoi, Vietnam Bảo Hiểm Nhân Thọ Phú Hưng Full time

    ĐỊA ĐIỂM: Hà Nội Nội dung công việcMô tả công việcPurpose An additional staff to handle the violations of agent, conduct onsite review and implement the compliance training program agency force.Organization Context Support distribution compliance to investigate the agent violation cases and provide timely actions to minimize potential...

  • Manager Compliance

    1 week ago

    Hanoi, Hanoi, Vietnam Victoria's Secret Full time

    DescriptionResponsibilities: Introduce and promote trade, security and social compliance expectations to suppliers, factories and associates in region Conduct meetings and visits to facilities for compliance monitoring, remediation or training Manage supply chain mapping and traceability Identify opportunities for continuous improvement of the audit...

  • Senior Officer, Operational Risk and Compliance

    1 week ago

    Hanoi, Hanoi, Vietnam Techcombank Full time

    16-Jan-2023Senior Officer, Operational Risk and Compliance Assurance :Category: Retail Banking GroupJob Type: Facility: Retail BankingJob Purpose: Control compliance and operational risks of products and services in the segment in charge, ensure Techcombank's regulations and laws, protect the Bank's and customers' legitimate rights and interests. Control...

  • Risk Management and Compliance Assistant Manager

    1 week ago

    Hanoi, Hanoi, Vietnam Adecco Full time

    Responsibilities:Risk Management Tasks: Developing and implementing an appropriate Risk Framework to meet the needs of the Company, which meets the minimum standards defined by the local regulator and/or the Group Perform indepth analysis of business processes, risks, and controls Monitor the implementation and report on risk management activities of the...

  • Quality Assurance Executive

    1 week ago

    Hanoi, Hanoi, Vietnam Adecco Full time

    Job LocationHanoiJob typePermanentSalaryNegotiableTheo lĩnh vựcMedical & ScienceExperience3-5 NămIndustryHealthcareJob summary:Adecco's client is a multi national company in medical device is looking for a Quality Assurance ExecutiveResponsibilities:Resolving Complaints Up until the closure, handle and respond to any consumer complaints regarding the...

  • Head of Internal Control

    1 week ago

    Hanoi, Hanoi, Vietnam Aloha Consulting Group Full time

    Our client is one of the biggest company providing electronic products who is searching for Head of Internal Control:Responsible for implementing, directing and overseeing the auditing and compliance programs. Conducts and directs audits and ongoing reviews of organization controls, operating procedures, and compliance with policies and regulations. Assesses...

  • Head of Project

    1 week ago

    Hanoi, Hanoi, Vietnam Employment Vietnam Full time

    About the companyOur client is in the process of building the very first new Greenfield Primary Aluminium smelter complex in Vietnam. The Aluminium Smelter is a mega-scale industrial project. The Project Establishment, Engineering, Procurement, Project Management and Project Financing are being done in Hanoi at the Head office.Job SummaryThe Project Manager...

  • Head of Korean Desk Bank

    1 week ago

    Hanoi, Hanoi, Vietnam NavigosSearch Full time

    What We Can Offer:Responsibilities: Heading business promotion to Global Korean Corporates in Vietnam; Connecting the Bank's global network to enhance product and service offering; Responsible for assessing the customers and industries risk to structure deals in own area of expertise to deliver financial and nonfinancial. Heading business promotion to Global...

  • Head of Operations

    1 week ago

    Hanoi, Hanoi, Vietnam SNV Full time

    HEAD OF OPERATIONS, SNV VIETNAMCompany DescriptionSNV is a mission-driven global development partner working across Africa and Asia. SNV has been working in Viet Nam since 1995, and currently has over 40 national and international staff.Our work focuses on three sectors: Agri-Food, Energy, and Water, and three core themes: Climate Adaptation and Mitigation,...

  • Executive Quality Assurance

    1 week ago

    Hanoi, Hanoi, Vietnam DKSH Full time

    Location:Ha Noi, VN, VNJob Function:Business SupportRequisition Number:154591Description:Job SummarySupervise a team of quality assurance.General ResponsibilitiesEnsure that procedures and policies are appropriate and followed. Ensure the training program for all personnel involved in distribution activities. Prepare validation plan and deploy plan....

  • Academic Compliance Officer

    1 week ago

    Hanoi, Hanoi, Vietnam British University Vietnam Full time

    Job Description:British University Vietnam (BUV) is the first and only international university in Vietnam to directly award British degrees from the prestigious University of London and Staffordshire University. BUV is rated a 5 Star university of excellence by the world recognised QS accreditor.BUV has three main brand drivers:Offering accredited British...

  • Deputy Head of It

    1 week ago

    Hanoi, Hanoi, Vietnam Aloha Consulting Group Full time

    Assist the Head of IT in developing and implementing IT strategies aligned with the organizations goals. Provide leadership and direction to the IT team, ensuring efficient and effective operations. Collaborate with other department heads to understand their IT requirements and develop solutions to meet their needs. Manage and oversee IT projects, including...