RESPONSIBILITIES

• Identifies, assesses and documents the Regulatory Compliance Risks associated with the business activities of Bank including new products, services, business practices and business operations and material changes to existing business and customer relationships, etc.
• Facilitates a robust assessment of the main Regulatory Compliance Risks through a risk and control self-assessment framework in collaboration with the Business Unit & Support Unit (BU&SU);
• Facilitates BU&SU in the development of compliance manuals/guidelines for use by the Senior Management, their line managers and staff where applicable.
• Assists the Senior Management in educating relevant Bank’s staff on regulatory compliance issues, and acts as a point of contact within Vietnam for regulatory compliance queries from Bank’s staff;
• Provides advice, guidance and on-going training to Bank’s staff on the appropriate implementation of Compliance’s frameworks which include policies and procedures such as those contained in this Charter, Bank’s Regulatory Compliance Risk Governance Framework, Bank’s Codes of Conduct and other CLRS where applicable.
• Advises the various units of Bank and the Senior Management on regulatory obligations that are listed in Compliance’s Regulatory Risk Assessments. This includes the provision of advice on the implications of changes in the CLRS;
• Makes enquiries into regulatory compliance incidents and complaints that Compliance is identified as a stakeholders or directly involved by relevant parties, and carrying out further investigations into such incidents and complaints as appropriate;
• Acts as the key liaison officer with relevant external bodies, including regulators, standard setters and external experts; and
• Fulfils its responsibilities under the compliance plans developed for Bank.
• Reporting of regulatory issues and breaches of the Branch to Group Compliance and Country Regulators (where necessary).
• Other tasks as assigned by Country Compliance Head from time to item.

REQUIREMENTS

• Bachelor’s degree in legal or banking.
• Above 10 years of experience in Banking.
• Experience in managing production support and maintenance.
• Requires superior analytics and problem-solving skills. Must be attentive to details.
• Ability to work in a fast-paced, team-oriented environment.
• A strong & assertive communicator in speaking & writing.