• Develop and update legal and regulatory compliance tools, policies and procedures (e.g. confidentiality, compliance, whistle blowing) to
  manage compliance with external regulatory requirements;
• Lead in developing and updating policy, procedure and guidelines to make sure appropriate Anti-Money Laundering/Counter Financing of Terrorism (AML/CFT) strategy is implemented properly and effectively;
• Lead in developing and updating the compliance checklist and carrying out compliance checks;
• Collaborate with and support the work of external regulators (e.g.NBC, rating agencies, stakeholders …);
• Analyze information received from whistle blowers and evaluate whether the company should investigate the concerns raised, and ensure complaints are resolved quickly and fairly by forming a Whistleblowing Committee;
• Preparing and submitting control reports to regulatory authorities and updating internal control systems;
• Report all the non-compliance issues and whistleblowing cases to the independent director and the Risk Oversight Committee;
• Develop and conduct trainings to all staff, including new hiring and existing staff to ensure that they are aware and understand of their responsibilities regarding compliance risks;
• Regular monitor and report on training and education to senior managements and the board committee;
• Review policies, procedures, operation manuals and guidelines to ensure that they are consistent with existing format.

Job Requirements

• Bachelor’s degree in law, finance or related field from a reputable institution;
• At least 5 years in a related field, preferably with exposure to compliance, internal control or auditing within banking industry;
• Good interpersonal, communication and persuasive skills, fluent in written and spoken English;
• Understanding of regulatory and AML compliance;
• Understanding of research methods and compliance analysis, Management experience;
• Experience in complaint handling and dealing with regulators;
• Knowledge of concepts, products, practices and compliance techniques for the financial services industry.

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For more information, please contact our recruitment team:

+855 (0) 12 632 150 / +855 (0) 12 992 132 / +855 (0) 92 333 020/ +855 (0) 70 70 01 23