Head of Compliance Dept

5 months ago

Ho Chi Minh City, Vietnam Công Ty Tài Chính TNHH MTV Shinhan Việt Nam - Chi Nhánh Bình Dương Full time

**Mô tả công việc**:
(Mức lương: Thỏa thuận)

Job summary

The role Head of Compliance Department is to assist Head of Legal & Compliance Division in satisfying the compliance responsibilities. It also acts as the conscience of the Company and preserves its reputation by ensuring all activities are conducted in compliance with all applicable laws and regulations as well as Group standards and requirements.

Key Roles & Responsibilities

1. Regulatory and internal policies compliance
- Ensure SVFC implements the process of adhering to laws, regulations, standards, and other rules set forth by governments and other regulatory bodies, including gap analysis and communicate with relevant divisions/departments to close the gaps;
- Monitor business operations to comply with relevant government regulations, parent company's policies and Company's internal policies;
- Review Company's internal policies for possible risks and liabilities (if any) and research compliance requirements for new initiatives;
- Review Company's contracts/agreements/policies drafted by related functional divisions/departments in accordance with Compliance roles and responsibilities and/or requested by Division Head;
- Draft, update and/or enhance Compliance policies/guidelines/processes when necessary;
- Provide and consolidate comments on draft regulations relevant to SVFC's operations and communicate with related divisions/departments as well as government agencies and other organizations regarding this matter.
- Other tasks if necessary or required.

2. Advice & Guidance:

- Give constructive and practical advice with clear explanation on both the requirements and the intention of the relevant regulations and rules advice to the business.
- Must always have an eye on the future and must take the likelihood of changes to current regulations into account in giving advice.
- Actively encourage directors, senior managers and others to consult Compliance on initiatives and plans at the outset.
- Have or acquire, where possible, good contacts with the regulator and with Compliance Officers from other companies

3. Monitoring/Review:

- Actively monitor the business to provide assurance to all relevant parties including Company management, Group that the processes, procedures and systems in the business are delivering satisfactory standards of compliance, Group Corporate Governance.
- Encourage and assist functional department in development its own monitoring process to ensure the compliance with applicable local laws and other requirements from the Group.
- Closely liaise with Internal Audit should ensure sufficient and necessary assurance could be delivered on a most effective and efficient manner without unnecessary burden on the business.

4. Reporting:

- Submit regular compliance reports to Group Compliance in accordance with the standard format and requirements set by Group Compliance from time to time.
- Report major compliance issues and problems to the CEO and Group Compliance on a timely basis in accordance with the policies and requirements set out in the Group Compliance Standards/ Guidelines.
- Report to the company's Management Committee/ Risk Management Committee/ Supervisory Committee, advising the Committees of the standards of compliance prevailing in the business, the results of compliance monitoring, problems and weaknesses in the business and the impact which proposed regulations will have on the business.
- Submit the regular or ad hoc reports to Local Regulator as per requests.

5. Training & Enhancing Awareness:

- Responsible for conducting direct training or assisting and/or providing advice in the development of Company training strategies, policies and materials related to Compliance, Financial Crimes and AML issues.

6. Liaise & Coordinate:

- Develop and maintain appropriate relationship or perform certain specific activities with various external/ internal bodies and parties: Risk Management Committee, Risk Managers, local senior management including CEO, Regulators, External Auditors, Group Compliance, Compliance functions of other local subsidiaries

7. Anti-Money Laundering Function (AML):

- Responsible for the compliance with the local as well as relevant overseas anti money laundering and terrorist financing regulations.
- Ensure that money laundering and terrorist financing deterrence procedures and controls are robust and in line with the Group.

8. Financial Crime Function:

- Ensure clear and practical Financial Crimes Combating related policies and procedures are in place through either directly adopting the Regional policies and procedures or where local regulations or senior management.
- Ensure any breach or potential breach to the Anti-Bribery and Corruption (ABC) risk appetite or ABC policy requirements is timely reported to the local senior management and Group.
- Ensure the appropriate investigations and follow-up actions are taken in time.

9. Others:

- Other ad-hoc tasks assig

  • Head of Compliance, Vietnam

    5 months ago

    Ho Chi Minh City, Vietnam BNP Paribas Full time

    **POSITION PURPOSE**: The Compliance function is at the heart of BNP Paribas’ risk management. One of the pillars of the Group’s internal control setup, Compliance teams work both independently and in close partnership with the Business to adapt to the evolution of the Group’s activities and the requirements of the regulators. Compliance teams...

  • Head of Compliance, Vietnam

    5 months ago

    Ho Chi Minh City, Vietnam BNP Paribas Full time

    HEAD OF COMPLIANCE, VIETNAM (JOB NUMBER: COM002788) **Position Purpose** The Compliance function is at the heart of BNP Paribas’ risk management. One of the pillars of the Group’s internal control setup, Compliance teams work both independently and in close partnership with the Business to adapt to the evolution of the Group’s activities and the...

  • Head of Compliance

    7 months ago

    Ho Chi Minh City, Vietnam Aloha Consulting Group Full time

    Our client is an international bank in Vietnam who is looking for an experienced talent to join their firm: - Deliver regular updates to the Board of Directors and the Supervisory Board regarding changes in regulations and developments in the regulatory landscape, while also bringing attention to any instances of internal or external non-compliance. -...

  • Head of Compliance

    6 months ago

    Ho Chi Minh City, Vietnam AIA Full time

    FIND YOUR 'BETTER' AT AIA - We don’t simply believe in being ‘The Best’. We believe in better - because there’s no limit to how far ‘better’ can take us._ - We believe in empowering every one of our people to find their 'better' - in the work they do, the career they build, the life they live and the difference they make. So that together we can...

  • Head of Compliance

    5 months ago

    Ho Chi Minh City, Vietnam AIA Full time

    FIND YOUR 'BETTER' AT AIA - We don’t simply believe in being ‘The Best’. We believe in better - because there’s no limit to how far ‘better’ can take us._ - We believe in empowering every one of our people to find their 'better' - in the work they do, the career they build, the life they live and the difference they make. So that together we can...

  • Regulatory Office Compliance Officer

    2 months ago

    Thành phố Hồ Chí Minh, Vietnam BNP Paribas Full time

    As the BNP Paribas Compliance Transformation progresses, the role of Regulatory Office Compliance Officers will evolve in line with the new Compliance operating model. He/she will cover: - Regulatory Office: to provide reasonable assurance with respect of applicable laws and regulations within the territory. - PE correspondents: to assist the Head of PE in...

  • Head of ISO Compliance

    5 months ago

    Ho Chi Minh City, Vietnam DIGI-TEXX VIETNAM Full time

    **Mô tả công việc/Job Description**: The main responsibility of a Head of ISO Compliance and Legal is to oversee and ensure regulatory compliance and legal throughout the organization. This role combines the responsibilities of both ISO compliance and legal functions, with a focus on upholding ethical and regulatory standards and managing legal risks,...

  • Compliance Strategy

    2 months ago

    Thành phố Hồ Chí Minh, Vietnam Ngân Hàng TNHH Một Thành Viên United Overseas Bank Full time

    **Mô tả công việc**: (Mức lương: Thỏa thuận) Update, develop and implement the policy, procedure, provide guidance to ensure of meeting the requirements set forth under head office and local regulations in areas: FATCA, Internal Control system, Staff trading, MAS643 and Related Party Transactions, Compliance Manual, Corporate Governance...

  • Regional Head of Compliance, Asean

    5 months ago

    Ho Chi Minh City, Vietnam Siemens Full time

    We know that a business only thrives if our people are thriving. That’s why we always put our people first. Our global and diverse team would be happy to support you and challenge you to grow in many ways. You will act in a combined role as Head of Compliance for the ASEAN Region, as well as Compliance Officer for Vietnam and Singapore, and can be based...

  • Compliance Manager

    3 weeks ago

    Ho Chi Minh City, Ho Chi Minh, Vietnam People Profilers Vietnam Full time

    Job DescriptionWe are seeking a highly skilled Compliance Manager to join our team at People Profilers Vietnam. The successful candidate will be responsible for developing, monitoring, and enforcing compliance procedures and policies, as well as maintaining current awareness of applicable laws and regulations.Key Responsibilities:Develop and implement...

  • Head of Regulatory Compliance Cmb, Gbm, Dbs and

    6 months ago

    Ho Chi Minh City, Vietnam HSBC Full time

    -Job Advert Details Some careers open more doors than others. If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you...

  • Compliance Strategy

    2 months ago

    Thành phố Hồ Chí Minh, Vietnam UOB Vietnam Full time

    **About UOB**: United Overseas Bank Limited (UOB) is a leading bank in Asia with a global network of more than 500 branches and offices in 19 countries and territories in Asia Pacific, Europe and North America. In Asia, we operate through our head office in Singapore and banking subsidiaries in China, Indonesia, Malaysia, Thailand and Vietnam, as well as...

  • Social Compliance Specialist

    5 months ago

    Ho Chi Minh City, Vietnam Source of Asia Full time

    Way beyond a simple consulting firm, Source of Asia is an international business accelerator. In simple words, we enable our customers to explore, operate and grow business in Vietnam, across ASEAN, and further afield. We thrive on challenges, permanently motivated to learn and grow along the way. We believe success lies in the human relationships we build....

  • Head of Compliance Assurance Vietnam

    7 months ago

    Ho Chi Minh City, Vietnam HSBC Full time

    -Job Advert Details Some careers have more impact than others. If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you...

  • Head of Product, Sales

    5 months ago

    Ho Chi Minh City, Vietnam Manulife Full time

    We are a leading financial services provider committed to making decisions easier and lives better for our customers and colleagues around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out, we help you step up, because when colleagues are healthy, respected and...

  • Risk & Compliance Manager

    5 months ago

    Ho Chi Minh City, Vietnam Talentnet Full time

    $2,000 - $3,000 - Financial Services RESPONSIBILITIES: - Compliance:_ - Conduct on-going and periodic monitoring according to Compliance Monitoring Plan to ensure compliance with regulations and internal policies/guidelines, detect/prevent non-compliance/breaches and recommend improvements/rectification actions to departments in the Company. - Be...

  • Country Head of Compliance, Vietnam

    1 month ago

    Thành phố Hồ Chí Minh, Vietnam Mondelēz International Full time

    **Are You Ready to Make It Happen at Mondelēz International?** **Join our Mission to Lead the Future of Snacking. Make It Matter.** In this role, you will lead business integrity in a major country and/or across multiple countries, identify business needs and lead implementation for compliance and integrity learning. You will direct compliance...

  • Fs and Kyc Compliance Officer

    5 months ago

    Ho Chi Minh City, Vietnam BNP Paribas Full time

    FS AND KYC COMPLIANCE OFFICER (JOB NUMBER: FIN003734) **BNP Paribas’ FS and KYC Compliance Vietnam will be accountable for the development of the FS and KYC Domain within Vietnam.** **Financial Security** - **Organize **a consistent and coherent roll out of Group Financial Security (GFS) policies and processes across his/her Operational Perimeter (OP) -...

  • Fs and Kyc Compliance Officer

    5 months ago

    Ho Chi Minh City, Vietnam BNP Paribas Full time

    **BNP Paribas’ FS and KYC Compliance Vietnam will be accountable for the development of the FS and KYC Domain within Vietnam.** **FINANCIAL SECURITY**: - **Organize **a consistent and coherent roll out of Group Financial Security (GFS) policies and processes across his/her Operational Perimeter (OP) - **Steer the Financial Security function within OP...

  • Fs & Kyc Compliance Officer

    5 months ago

    Ho Chi Minh City, Vietnam BNP Paribas Full time

    BNP Paribas’ FS and KYC Compliance Vietnam will be accountable for the development of the FS and KYC Domain within Vietnam **FINANCIAL SECURITY**: - **Organize **a consistent and coherent roll out of Group Financial Security (GFS) policies and processes across his/her Operational Perimeter (OP) - **Steer the Financial Security function within OP **(at...