Compliance Assistant Manager (Investment)
- Compensation
- Not disclosed
- Location
- Ho Chi Minh City, Vietnam
- Work setup
- Not specified
- Seniority
- Not specified
- Employment
- Not specified
- Experience
- 1+ years
- Category
- Not specified
- Posted
Must have
- Have accounting or audit certificate; or bachelors degree in accounting or audit or higher
- At least 01 years experience of working in accounting or audit position.
- Have a bachelor in economics (major in auditing or accounting).
- Have at least 02 years experience of working in specialized departments of fund management companies, securities companies, credit institutions, insurance firms, audit organizations or finance, bankin
- Ability to handle multiple tasks at the same time.
- Ability to communicate compliance requirements to internal and external clients.
- Strong sense of risk and control.
- Strong knowledge of investment industry and international financial markets (including knowledge in equity and fixed income).
- Excellent communication skill (written and spoken in both Vietnamese and English).
- Ability to draft documents in both Vietnamese and English, i.e. policies, procedures, various minutes of meeting and resolutions.
- Knowledge in using Microsoft Office (Excel, Word, Access & etc).
- Ability to work under stress and meet tight deadlines.
- Strong problem-solving skill.
- Ability to work independently with minimal supervision.
- Ability to deliver short but clear and comprehensive reports.
- A team player, be able to demonstrate strong collaboration with peers and across other functions
- Strong influencing skills are a must
- Energetic, forward-thinking and creative
- A well-organized and self-directed individual
Full description
Job Reference: L5XR5WV3
Duties:
Develop, monitor and enforce compliance procedures and policies, and regulations pertaining to investment funds and investment management operations, wealth operations, and prepare regulatory and internal reports etc.
Assist to maintain current awareness of applicable and proposed laws and regulations and make recommendations to the Dept Head in compliance with applicable regulations;
Assist to maintain the Groups and Company's compliance policies and procedural manuals, drafting and updating policies and procedures as required by local regulations and company's policies;
Assist to handle conflict of interest and dispute;
Assist to maintain risk management matters as required by regulations;
Assist to maintain AML/ATF program
Assist to support any projects related to Legal and Compliance
Maintain & perform testing Compliance Monitoring Plan to ensure compliance with applicable laws, regulations & company's policies, i.e : codes of conduct, conflict of interest, trade allocation, front trading, distribution, etc;
Perform investment compliance, rule coding and monitoring in compliance with approved parameters;
Manage personal trading disclosure program and perform gift clearance;
Update, maintain and perform AML/ATF program, update AML/ATFs policies & procedures in accordance with local laws & company's polices;
Perform distribution compliance;
Prepare compliance reports and other management reports as required by local regulations and internal requirements;
Handle and monitor investor hotline and ensure investor complaint handling procedures are in place;
Handle and monitor information disclosure in compliance with stipulated regulations;
Supervise the custody and separation of assets and capital of each entrusted investor, each fund and the Company;
Supervise the valuation of net asset value of the fund and the pricing of fund certificate;
Check the legality, honesty, reasonability and prudence in fund management, asset and portfolio management, accounting books and reporting activities;
Supervise idle capital financial safety ratios;
Monitor the Company license status & staffs license, register and de-register staffs license with SSC;
Promptly report any breach of compliance policy and follow up with on action plan;
Update new laws and regulations;