Officer of Compliance Department

The Staff is to assist the delegated Compliance Officer (CO)/Senior Officer (SO) to execute following jobs and tasks, under the CO/SO's instructions and guidance. Those jobs and/or tasks may be changed from time to time and meet requirements and/or orders of both the Bank and the local Regulators including but not limited to:
 Prepare and maintain required lists under internal process.
 Disseminate HO Circulars and update list; follow up relevant departments' updating their manual/procedure & reports
 Prepare/consolidate reports of the Compliance Department (COD) to Head Office and State Bank of Vietnam
 Take part in preparation compliance related document, for e.g. (i) materials and meeting minutes related to compliance meetings; (ii) materials for compliance-related training sessions; (iii) draft Revisions of compliance-related Manuals and/or Procedures for Vietnam branches; Handle relating inquires, provide training on compliance topics in charge
 Being in charge of quarterly review and evaluation process of new and/or variation of product/services to be monitored by Transaction Monitoring System.
 Perform periodic compliance reviews as defined by Annual Plans (or ad-hoc projects) to ensure compliance with industry, regulatory and internal standards.
 Perform Quality Assurance under sanction quality assurance program and promptly reporting on potential compliance breaches and effectively following-up any identified deficiencies.
 Handle administration tasks of COD
 Other tasks that are assigned or requested by the CO/SO and/or above
Direct report to: designated CO or SO