Compliance Officer

WE’RE HIRING: COMPLIANCE OFFICER / MANAGER, COMPLIANCE One of Vietnam’s leading fund management companies is seeking a suitable candidate for the position of Compliance Officer / Manager, Compliance. This is an excellent opportunity for a risk management, compliance, auditing, internal control professional who is interested in building a long-term career in Compliance within the asset management industry. Role Summary The successful candidate will support the Legal & Compliance function in monitoring regulatory compliance, strengthening internal controls and providing practical compliance advice to the business. The role is intended for a candidate who is committed to developing professionally and growing with the company over the long term. Key Responsibilities * Monitor compliance by business and support functions with applicable laws, regulations, internal policies and procedures, and provide timely and practical advice. * Review marketing, advertising, product and client-facing materials from a compliance perspective and coordinate required revisions with relevant stakeholders. * Perform Know Your Customer (KYC), customer due diligence and anti-money laundering (AML) reviews, including escalation of unusual or higher-risk matters in accordance with applicable requirements and internal procedures. * Conduct periodic compliance monitoring and testing, particularly 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, competent Vietnamese regulators and relevant industry bodies. * Support regulatory licensing, registrations, notifications and ongoing professional qualification or training monitoring applicable to the company and its employees. * Maintain compliance records, regulatory registers, internal policies, procedures and other controlled documents in an organised and auditable manner. * Monitor relevant regulatory developments, assess their potential impact on the company and support the implementation of required changes. * Support compliance training and awareness activities, internal reviews, audits and regulatory inspections. * Perform other compliance-related duties reasonably assigned in line with the role. Required Qualifications, Skills & Experience * Accounting or auditing qualification: Bachelor’s degree or higher in Accounting or Auditing, or relevant accounting or auditing qualifications or certificates satisfying applicable Vietnamese regulatory requirements. * Relevant practical experience: At least one year of practical experience in accounting or auditing, together with sufficient relevant professional experience to meet applicable requirements for internal control personnel of a fund management company. * Professional experience: Approximately two to five years of relevant experience in compliance, risk management, auditing, internal control. Candidates with less experience but a strong professional foundation and demonstrated learning agility may be considered at an appropriate grade level. * Career commitment: Strong interest in building a long-term career in Compliance and willingness to complete structured training and development provided by the company and the Regional Compliance team. * Technical capability: Ability to review documents, and operational processes carefully, identify control or compliance risks, and communicate practical recommendations. * Professional attributes: High integrity, sound judgement, attention to detail, accountability and willingness to speak up. * Execution: Ability to work independently, take initiative, manage competing priorities and meet deadlines. * Stakeholder management: Strong organisational, documentation and communication skills, with the ability to collaborate effectively across functions. * English: Good working proficiency in English, with the ability to read and understand routine business documents and communicate effectively in day-to-day work situations. * Digital skills: Proficiency in Microsoft Office applications and willingness to learn and use new industry-specific systems and applications. Required Professional Qualifications The candidate must possess, or commit to obtaining within an agreed period after joining, one of the qualifications or certificates required under applicable Vietnamese regulations for internal control personnel of a fund management company, including: * 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. Preferred Qualifications * Experience in Compliance, Risk Management, audit or internal control, preferably within asset management, securities, banking, insurance or another regulated financial institution. * 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. What We Value We are looking for someone who: * puts customers at the centre, listens carefully and acts in their best interests; * thinks broadly, remains curious and uses an agile mindset to enable business outcomes; * collaborates effectively and enjoys achieving results as part of a team; * takes ownership, focuses on what matters and develops practical solutions; * acts with integrity, does what is right and speaks up; and * contributes to a diverse, inclusive and respectful working environment. What We Offer * A meaningful mission focused on making decisions easier and lives better. * A leadership team committed to your professional growth and success. * Structured training and development to support your transition into and long-term career in Compliance. * Opportunities to contribute to the transformation of the asset management industry and bring your best every day. If you are interested in developing a long-term career in Compliance and believe your experience matches the above requirements, we would be pleased to hear from you. #Hiring #Compliance #ComplianceOfficer #AssistantManager #AssetManagement #FundManagement #InternalControl #RiskManagement #Audit #Accounting #AML #KYC #FinancialServices #HoChiMinhCity #VietnamJobs