Compliance AssuranceCông Ty Tài Chính TNHH MTV Shinhan Việt Nam

• Ensure SVFC implements the process of adhering to laws, regulations, standards, and other rules set forth by governments and other regulatory bodies, including gap analysis and communicate with relevant divisions/departments to close the gaps;

• Monitor business operations to comply with relevant government regulations, parent company's policies and Company's internal policies;

• Review Company's internal policies for possible risks and liabilities (if any) and research compliance requirements for new initiatives;

• Review Company's contracts/agreements/policies drafted by related functional divisions/departments in accordance with Compliance roles and responsibilities and/or requested by Department/Division Head;

• Draft, update and/or enhance Compliance policies/guidelines/processes when required;

• Provide and consolidate comments on draft regulations relevant to SVFC's operations and communicate with related divisions/departments as well as government agencies and other organizations regarding this matter.

• Other tasks if necessary or required.

2. AML/ CTF Function

• Responsible for the compliance with the local as well as relevant overseas money laundering and terrorist financing regulations.

• Ensure that money laundering and terrorist financing deterrence procedures and controls are robust and in line with the AML guidelines for oversea subsidiaries of Group.

• Responsible to monitor, control and provide updates solutions for the internal AML screening system in alignment with local regulatory requirements, for example, the OFAC, UN lists.

• Responsible to monitor, control transactions, give advice and/or reports suspicious transactions (if any) to State Bank of Vietnam ("SBV") of AML department.

• Responsible for internal audit/ regulatory engagement (review, inspection)/ external audit regarding AML/CTF operations.

3. Monitoring and Compliance Assurance Review

• Actively monitor the business to provide assurance to all relevant parties including local management and Group that the processes, procedures and systems in the business are delivering satisfactory standards of compliance.

• Encourage and assist functional department in development its own monitoring process to ensure the compliance with applicable local laws and other requirements from Group.

• Closely liaise with Internal Audit for sufficient and necessary compliance assurance to be delivered on a most effective and efficient manner without unnecessary burden on the business.

4. Reporting

• Responsible to prepare routine reports in charged by Compliance department and/or give advice for other divisions, departments regarding ad-hoc reports required by SBV.

• Responsible to prepare and submit regular compliance reports and management information reports to Head of Compliance and Head of Legal & Compliance Division in accordance with the standard format and requirements set by Group's Compliance team from time to time.

• Report major compliance issues and problems to the CEO and Group Compliance team on a timely basis in accordance with the policies and requirements set out in the Compliance Guidelines for the oversea subsidiaries.

5. Financial Crime Function

• Ensure clear and practical Financial Crimes related policies and procedures are in place through either directly adopting the local regulations or senior management or Group's Guidelines.

• Ensure any breach or potential breach to the Anti-Bribery and Corruption ("ABC") risk appetite or ABC policy requirements is timely reported to the local senior management.

• Ensure the appropriate investigations and follow-up actions are taken in time.

6. Training & Enhancing Awareness

• Responsible for conducting direct training or assisting and/or providing advice in the development of local unit training strategies, policies and materials related to Compliance, Financial Crimes and especially AML/ CTF issues.

• Responsible for preparing, developing, and designing the Compliance training materials which has been updated in accordance with regulatory changes.

• Liaise with service providers to enhance Compliance training courses via SVFC's training platform (if required).

7. Other tasks

• Other tasks as assigned by Head of Compliance/Head of Legal & Compliance from time to time.