Mô tả công việc
Plan and implement internal control activities in accordance with securities regulations, internal company policies and professional ethical standards.
Inspect and monitor compliance with operational procedures of departments in the company, including financial management and other securities-related operations.
Evaluate the effectiveness of the internal control system, identify bottlenecks and risks and propose corrective solutions to improve operational efficiency.
Participate in developing, reviewing, and updating internal regulations, operational procedures and internal policies related to securities activities and risk management.
Monitor compliance with regulations on financial safety and capital adequacy in accordance with securities laws.
Control and monitor compliance with regulations on anti-money laundering (AML).
Track, consolidate and report internal control results periodically and on an ad-hoc basis to management as required.
Support relevant departments in training and internal communication on compliance and internal control regulations.
Perform other tasks as assigned by the direct manager.
Yêu cầu
Bachelor degree or higher in Accounting, Auditing, or Law.
3-4 years work experience in audit/ internal control, ideally with exposure to securities companies, financial institutions, or banks.
Certificate in Securities Law and the Securities Market and Basic Certificate in Securities and the Securities Market are advantageous.
Solid knowledge of securities laws, the Law on Enterprises, and regulations governing securities company operations; knowledge of fintech is a plus.
Strong risk analysis, reporting, and presentation skills; proficient in office software; data analysis tools knowledge is a plus.
Honest, objective, proactive, and ownership-driven; operates well with minimal structure.
Thông tin chung