Assist to Compliance Manager to develop and implement the compliance framework to ensure the overall supervision of compliance with the relevant regulatory rules, regulations, guidelines; internal policies and procedures as well as the roll out and compliance with the regional guidelines, policies and procedures, including:
- Report and response to regulators as regulations;
- Assist Compliance Manager to report/ response to Regional/ Management Board on Compliance matters;
- Assist Compliance Manager to implement AML/CFT program within the entity as regulatory requirements;
- Monitor the compliance of internal policies i.e. GPI, WL/RL/BL, Chinese Wall, AML/CFT;
- Conduct trading/market surveillance;
- Review activities of branches;
- Investigate fraud of staff;
- Support on new/enhanced product;
- Disseminate regulatory development/ updates to relevant departments and conduct training if necessary;
- Other tasks assigned by Compliance Manager.
- Graduated university with majoring in Business / Accounting / Auditing or Law;
- Achieving certification on The Basic Knowledge on Securities and Securities Market; and certification on Applicable Laws and Regulation in Securities Industry from the Securities Research and Training Center of The State Securities Commission.
- 3 years experience working for securities company.
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