Senior Compliance Director

Senior Compliance Director

July 11, 2023in Recruitment

Job Description

  • Implement legal solutions for the company’s transactions, products, services, and other activities according to leadership assignments.
  • Report and propose solutions for legal risks related to the company’s transactions, products, services, and other activities.
  • Draft contracts, documents, and related texts for the company’s financial products, solutions, and services as assigned by leadership.
  • Monitor compliance with legal regulations, the company’s charter, Board decisions, operational procedures, and risk management processes.
  • Responsible for identifying, evaluating, and mitigating legal risks in company operations, coordinating with relevant units to develop risk measurement and reduction methods.
  • Participate in the creation of policies, regulations, procedures, and guidelines for functional areas and related units.
  • Update and report leadership on financial, investment, banking, securities, capital market regulations, and other relevant regulations related to the company’s business activities.
  • Collaborate closely with other departments within the company, Investment Banking Group, and related units within Techcombank to achieve optimal results for the Investment Banking Group’s goals.
  • Establish and maintain relationships with relevant state management agencies regarding legal matters to serve the company’s operations.
  • Perform other related tasks as required by leadership.

Job Requirements

Educational/Professional Qualifications
  • Hold a degree or higher in Law, either domestically or internationally;
  • Possess a lawyer’s practicing certificate.

Experience:

  • Minimum 14 years of legal work experience in financial, investment, banking, capital market, and securities fields at law firms.

Specialized Knowledge

  • Proficient in audit principles, accounting standards, and legal regulations;
  • In-depth knowledge and experience in operational activities, accounting, and finance in banks, securities companies, or asset management companies;
  • Understand organizational structure and operational processes of investment products.
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