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Internal Control and Compliance Officer

HSC - Chứng Khoán Thành Phố Hồ Chí Minh
Ngày cập nhật: 16/10/2019

Thông Tin Tuyển Dụng

Phúc lợi

  • Bảo hiểm theo quy định
  • Du Lịch
  • Phụ cấp
  • Thưởng
  • Chăm sóc sức khỏe
  • Đào tạo
  • Tăng lương
  • Công tác phí
  • Phụ cấp thâm niên
  • Chế độ nghỉ phép
  • Chế độ tập thể dục

Mô tả Công việc

The following duties and responsibilities are under the supervision of Manager, Risk Management Department (RMD) with dotted reporting line to the Managing Director (MD) - RMD:

  • Conducts, oversees, implement, reviews and appraises the regular internal auditing and compliance programs of HSC;
  • Assesses the adequacy and extent, soundness, effectiveness, and proper application of internal audit and accounting/financial control programs designed to safeguard company’s assets;
  • Performs internal audits and ongoing reviews of HSC’s controls, operating procedures, to ensure compliance with the policies and regulations set forth by the regulators and by the company;
  • Evaluates risks control measures of HSC’s various Departments [e.g., Operations (Front and Back-Office), IT, HR, Institutional Sales, Investment Banking, Research, Principal Investment and Finance functions] and report any non-compliant;
  • Ensures that the company’s established policies and procedures are being complied with and that required controls measure are in place;
  • Oversees the accuracy and timely submission of all regulatory reporting requirements (i.e., Reports to State Securities Commission, HOSE, HNX, and National Finance Supervisory Commission;
  • Monitors the Company’s Delegation of Authority Level and ensures that it strictly followed and regularly updated (if need arises);
  • Compiles and reports relevant business-related issues and provides recommendations for improvements to the Manager, RMD and copied MD, RMD for their subsequent evaluation and implementation;
  • Performed other risks, internal control, and compliance-related tasks, as per Manager and MD’s reasonable requests as deemed necessary.

Yêu Cầu Công Việc


  • A university degree, preferably in Finance, Accounting, Banking or Economics.


  • Fluency in written and oral Vietnamese and English;
  • Integrity, reliability and independence;
  • Analytical, organizational and planning skills;
  • Interpersonal and communication skills;
  • Flexible and ability to work under pressure;
  • Ability to build business relationships and influence key stakeholders;
  • Technical knowledge of the securities and banking system;
  • Familiarity with the rules, codes and guideline issued by SSC, HOSE, HNK, VSD, SBV, MPI and by the company;
  • Understanding of Finance - Securities is a plus.


  • At least 1 years’ experience in compliance in a top tier bank or in the securities and/or asset management industry.


  • Competitive salary and benefit packages.

Thông tin khác

  • Độ tuổi: Không giới hạn tuổi
  • Hình thức: Nhân viên chính thức

Giới thiệu về công ty

HSC - Chứng Khoán Thành Phố Hồ Chí Minh
Ho Chi Minh City Securities Corporation is a leading and award-winning professional securities brokerage and equity firm in one of the fastest growing...Chi tiết

Internal Control and Compliance Officer

HSC - Chứng Khoán Thành Phố Hồ Chí Minh

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