Manager, Investment Compliance
TP. Hồ Chí Minh
Hạn nộp hồ sơ:
07/11/2026
Về công việc
Trách nhiệm chính
- Monitor compliance across business and support functions, ensuring adherence to laws, regulations, internal policies, and procedures.
- Review marketing, advertising, product, and client-facing materials from a compliance perspective and coordinate necessary revisions.
- Perform KYC, customer due diligence, and AML reviews, escalating unusual or higher-risk matters as required.
- Conduct periodic compliance monitoring and testing, especially for sales, distribution, and marketing activities; document findings and follow up on remediation actions.
- Prepare accurate and timely compliance reports and regulatory filings for management, Group Compliance, Vietnamese regulators, and industry bodies.
- Support regulatory licensing, registrations, notifications, and ongoing professional qualification or training monitoring for MIMV and its employees.
- Maintain compliance records, regulatory registers, internal policies, procedures, and other controlled documents in an organized and auditable manner.
- Monitor relevant regulatory developments, assess potential impact on MIMV, and support implementation of required changes.
- Perform other compliance-related duties reasonably assigned in line with the role.
Yêu cầu
- Bachelor's degree or higher in Accounting or Auditing, or relevant accounting or auditing qualifications or certificates satisfying Vietnamese regulatory requirements.
- At least one year of practical experience in accounting or auditing, and sufficient relevant professional experience to meet internal control personnel requirements for a fund management company.
- Possession of, or commitment to obtain within an agreed period after joining, one of the qualifications or certificates required under Vietnamese regulations for internal control personnel of a fund management company (CFA Level II or above; CIIA Final Level; a relevant securities professional licence; an asset management licence issued in an OECD member country; or both the “Fundamentals of Securities and Securities Markets” certificate and the “Laws on Securities and Securities Markets” certificate).
- Approximately 2-5 years of relevant experience in accounting, auditing, internal control, compliance, risk management or financial services.
- Intermediate English proficiency, with the ability to read and understand routine business documents and communicate in day-to-day work situations.
- Proficiency in Microsoft Office applications, willingness to learn and use new industry-specific applications.
Yêu cầu ưu tiên
- Experience in external audit, internal audit, accounting, financial control or internal control, preferably within asset management, securities, banking, insurance or another regulated financial institution.
- Additional academic or professional background in Compliance, Risk Management, Finance, Banking, Securities or Law.
- Knowledge of Vietnamese regulations relating to securities, fund management, AML/KYC, accounting or internal controls.
- Experience supporting regulatory filings, compliance monitoring, audits, internal reviews or regulatory inspections.
Hình thức làm việc
- In Office