Compliance And Internal Control Senior OfficerCông Ty Tài Chính TNHH MTV Mirae Asset

LEGAL:
Contract review:
Support in contract review as Head of Department delegation.
Translate contracts, documents into English and vice versa.
Legal Update:
Monitor and update laws and regulation concerning to company's activities.
Comment laws and regulations as required by authorities.
Legal advice:
Give legal advice or opinion on daily legal issues.
COMPLIANCE:
Compliance review:
Draft, review the internal rules and make sure it's in compliance with the local law and regulations.
Ensure that all operational activities of the Company are in compliance with local regulations and internal rules.
Support or supervise and evaluate periodically or extraordinarily the compliance with the agreed procedures or the distribution agreements of the sale departments/sale representative/insurance agents and if any.
AML & FATCA:
Maintaining and monitoring the Company's Anti-Money Laundering (AML) and FATCA compliance program, including Know Your Customer, Customer Due Diligence and Enhanced Due Diligence activities
Fraud Prevention and Investigation:
Lead or participate in the investigation, prevention of illegal activities, insurance fraudulence for individuals and departments within the Company.
Evaluate periodically or irregularity the compliance with the laws and the internal rules/the procedures of the departments/individuals. Promptly have opinions and report to Head of LCIC when detecting violations of internal procedures, regulations, etc.
Investigate hot issue/customer complaints related to insurance agent.
Redwhistle review:
Investigate and respond the report related to actions against performing fair duties, actions of accepting unfair gains, information/security-related violations, and actions against sound organizational culture.
Internal Control
Assess the risk related to each department in order to select the departments that should be reviewed during the next new year.
Lead or participate in the reviewing the implementation of the policies/procedures and follow up the corrective actions.
Others
Other tasks as assigned by the Head of LCIC from time to time