Senior Compliance Officer

Địa điểm

Hồ Chí Minh

  • Lương

    Cạnh tranh

  • Kinh nghiệm

    3 - 10 Năm

  • Cấp bậc

    Nhân viên

  • Hết hạn nộp

    08/12/2020

Phúc lợi

  • Laptop
  • Chế độ bảo hiểm
  • Du Lịch
  • Phụ cấp
  • Chế độ thưởng
  • Chăm sóc sức khỏe
  • Đào tạo
  • Tăng lương
  • Công tác phí
  • Nghỉ phép năm

Mô tả Công việc

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.

Yêu Cầu Công Việc

- 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.

Thông tin khác

  • Bằng cấp: Đại học
  • Độ tuổi: 25 - 35

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