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Compliance Supervisor

SHINHAN VIETNAM FINANCE COMPANY LIMITED · Hồ Chí Minh
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Type
Full-time
Work mode
On-site
Level
Supervisor
Industry
Other
Salary
Thương lượng
Location
Hồ Chí Minh, Hồ Chí Minh, Hồ Chí Minh

Overview

  • AML/ CTF Management
  • Ensure that money laundering and terrorist financing deterrence procedures and controls are robust and in line with the AML/CTF regulations and Group requirements.
  • Responsible for monitoring, controlling and providing updates solutions for the internal AML screening system.
  • Responsible to review, investigate, monitor suspicious transactions (if any) and prepare regulatory reporting when required
  • Coordinate internal, external, and regulatory audits/reviews related to AML/CTF operations.
  • Compliance Monitoring and Review
  • Conduct compliance monitoring and assurance reviews across business activities.
  • Advise departments on regulatory requirements and compliance controls.
  • Support gap analysis and remediation actions to address regulatory or policy gaps.
  • Coordinate with Internal Audit and relevant stakeholders on compliance matters
  • Financial Crime Function
  • Support implementation of Anti-Bribery & Corruption (ABC) and Financial Crime frameworks through either directly adopting the local regulations or senior management or Group’s Guidelines
  • Escalate breaches or potential breaches in a timely manner.
  • Coordinate investigations and follow-up corrective actions.
  • Internal Control
  • Perform control reviews and testing to assess control effectiveness and identify compliance risks.
  • Monitor remediation of audit findings, regulatory observations, and control weaknesses.
  • Support the development and maintenance of internal policies, procedures, and frameworks.
  • Partner with business units and assurance functions to strengthen the Company's control environment.
  • Reporting
  • Prepare and submit periodic and ad-hoc compliance reports to regulators, management, and Group Compliance as required.
  • Provide guidance and support to business units on regulatory reporting and compliance-related matters.
  • Timely escalate significant compliance issues, breaches, and emerging risks to line manager and relevant stakeholders.
  • Training & Enhancing Awareness
  • Deliver and support compliance, AML/CTF, financial crime training programs.
  • Develop and update the Compliance training materials and awareness initiatives.
  • Other tasks
  • Other tasks as assigned by Head of Compliance/Head of Legal & Compliance from time to time.

Benefits

Training

Summary of facts from the official posting. View original ↗

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