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Head of Compliance, Vietnam

1 month 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 requirements of the regulators. Compliance teams contribute to maintaining the reputation of BNP Paribas and the trust of our clients, thanks to their strong control of non-compliance risks, allowing everyone to work with confidence.

The Head of Compliance, Vietnam is a key senior role in the APAC Compliance organisation.

The incumbent shall maintain a solid partnership between Compliance, the Business and Territory Management, acting as a senior advisor and point of contact for Business and Territory senior management, providing guidance and advisory.

He/she shall protect the Group on existing and emerging Compliance risks through active supervisory engagement and strong risk management, to ensure adherence to regulatory expectations.

The Head of Compliance, Vietnam should participate in the continuous efforts toward industrialisation and optimisation of the Compliance framework.

**Responsibilities**
- The Head of Compliance, Vietnam is responsible for the following activities:
Leadership
- Be accountable for the compliance of the entities in the Territory under his/her scope.
- Provide reasonable assurance towards the Head of Territory / CEO and Chief Compliance Officer, SEA & Singapore on the compliance of the activities with laws and regulations.
- Lead and manage the Compliance teams in the territory and be responsible for development of skills and expertise of local Compliance officers, by providing necessary education and guidance.
- Manage local Compliance issues, incidents and breaches on his/her scope, in conjunction with various internal parties, when necessary.
- Ensure effective definition and execution of Compliance governance within his/her scope (including the Territory Compliance Committee).
- Ensure alignment of Local Compliance with global and regional objectives, as well as collaborative relationship with global and regional Domain & Business Compliance teams.
- Responsible for the following activities in their respective territory
- Money Laundering Reporting Compliance Office (MLRO): acts to assure that the Group is compliant with all the regulations related to AML / CFT and to administer and maintain the designated business group in relation to the same. The AMLCO acts as the local point of contact for all AML activities and will be responsible for assessing whether suspicious activities are to be reported to the relevant competent authorities (the “Authorities”). The AMLCO must keep detailed written records of his or her decisions, including date, any internal report number, information sources consulted and reasons for the decision to report, or not to report, to the Authorities.
- Whistleblowing Referent (WR): handle whistleblowing reports in compliance with Group Policy CPL0038, Whistleblowing. This responsibility may not be delegated.

***

Partnership with the Business
- Act as a key Compliance point of contact and trusted partner for the senior management of the territory (preferred point of contact of the Head of Territory / CEO), providing advisory and guidance on Compliance matters.
- Ensure consistency of the Compliance operating model, implement internal policies and initiatives in close collaboration with local and regional Business and Compliance stakeholders.
- Spearhead local training programs aimed at maintaining a high level of proficiency in relevant laws, rules and regulations.
- Review new business, product and transaction proposals; and approve in accordance with delegated authority.

Supervisory Engagement
- Ensure active engagement with regulatory bodies and industry associations, in collaboration with Business, Territory and Regional Compliance stakeholders.
- Maintain a good grasp of the regulatory landscape in his/her scope.
- Monitor and anticipate the changes on relevant laws, rules and regulations and their likely impact on the Business, its processes, procedures, controls and products.
- Ensure the management of supervisory inquiries and requests as needed (including audits, questionnaires, surveys).
- Support and/or contribute to the definition of risk-based approaches where applicable and engage local regulators to secure concurrence on the target framework as needed.
- Industrialisation
- Support the industrialization of compliance activities through global and regional initiatives on process reengineering & digitalization.
- Responsible for driving the change required within the Compliance Function in his/her scope.
- Take ownership of the budget and ensure its respect.

**Key Interactions**
- APAC Chief Compliance Officer
- Other Territory Chief Compliance Officers (Head of Compliance) in th