Senior Analyst Compliance Assurance

- This role is to perform e-communication surveillance responsibility which is newly required by APAC Compliance as well as to perform compliance assurance tasks of LCD Vietnam. The scope of coverage is for both Hanoi and HCMC branches.

- The Job holder will handle:

1. Surveillance responsibility including but not limited to e-communication surveillance:

• Support Compliance Team Lead (TL) and Head of Department (HOD) in developing the annual surveillance plan and program ensuring it covers all approved electronic communication channels and staff in scope, as per the Bank requirements;

• Perform surveillance task in line with the Bank’s methodology and report the result to Compliance TL, HOD, Management and other stakeholders as necessary;

• Provide recommendation for improvement of identified e-communication gaps/issues and follow-up until closure;

• Prepare training material and conduct training on e-communication requirements to bank-wide staff;

• Other work related to surveillance and e-communication matters as assigned by TL, HOD and Management;

2. Compliance self-review responsibility:

• Support Compliance TL and HOD in developing the compliance self-review program on internal compliance requirements and local regulatory requirements, ensuring the scope, methodology and schedules are in line with the Bank’s Compliance Action Plan and policy, procedure requirements;

• Perform compliance self-reviews in line with the approved plan, report results to TL, HOD, Management and other stakeholders as necessary;

• Follow up with related departments on rectification of identified gaps/issues until closure;

• Ensure activities of Compliance self-reviews are delivered with quality and timely;

3. Governance:

• Review procedure/process on e-communication surveillance, e-communication channels etc and provide recommendation for improvement;

• Review the procedure/process on compliance self-reviews and provide recommendations for improvement;

• Be the contact person in audits/inspections on Compliance Assurance related matters;

• Supporting other matters as requested by TL, HOD and Management from time to time;

4. Teamwork:

• Cooperate well with team members in daily work, ensuring the team objectives are achieved;

• Cooperate well with stakeholders in other departments in daily work, contributing to improving compliance and conduct culture of the bank;

• Share expertise with team members.

• University graduated in Banking; Finance; Economics; Law…

• At least 5 year of banking experience related to Audit/Banking Compliance

• Strong interpersonal skills to engage stakeholders across business within the Bank

• Good problem-solving skills

• Detail oriented and analytical

• Responsible, high-team work spirit

• Good oral and written English skills