This offer job is expired.

Risk and Compliance Manager

First Alliances - Expires on Sep 18, 2013
  • Country
  • Location
  • Job Type
  • Experience
  • Eligibility
  • Vietnam
  • Ho Chi Minh City
  • Permanent - Full Time
  • 5+ years
  • Expat and local
Accounting / Finance
Job Category
Banking / Financial Services
USD 4,000 - USD 4,500

Job Description

  • Assist in monitoring the firm’s internal and external compliance programs, primarily

    • The United Kingdom London Stock Exchange regulation; the AIM Rules for Companies

    • Regulations of the Singapore Monetary Authority (MAS), namely the Financial Advisors Act (FAA) and Securities and Future (Licensing and Conduct of Business), and

    • The Vietnam Ministry of Finance, the State Bank of Vietnam (SBV), the State Securities Commission (SSC) laws and regulations

  • Support HRC to develop and maintain Compliance policies, procedures, and communicate related information

  • • Able to identify and implement improvements to the firm’s risk and compliance programs

  • • Update the firm’s risk and compliance registers, monitor plans and/ or compliance programs on a monthly basis

  • • Assist business units in implementing changes required under new/ updated corporate regulations

  • • Follow up incident reports and ensure incidents reported are adequately addressed

  • • Identify risks and their impact to the firm, including assessment through to monitoring the controls to mitigate risks

  • • Prepare routine and ad-hoc report/ presentation to Management and Risk Committees, Board and Audit Committees

  • • Assist the ongoing review of systems and procedures (internal audit) to ensure that controls set out in the enterprise risk management risk registers and/ or internal audit plan are in place and are operating effectively

  • • Take meeting minutes, prepare and monitor follow up action items

  • • Undertake special risk and compliance, investigation/review

  • • Provide support for internal and external audits and any other ad-hoc assignments

  • • Translate relevant documents from time to time.

Job Requirements

  • Degree in Engineering, Finance, Accountancy, Law or any other relevant discipline from a reputable university

  • At least five years work experience in risk management or related fields, previous experience working with a Big 4 firm is preferred

  • Fluent in Vietnamese and English

About the recruitment agency

First Alliances

First Alliances is Vietnam’s most established and largest specialist professional recruitment consultancy and HR outsourced solution provider. Operating across all major industry sectors and at ...

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