Opportunity - Head of Group Compliance Role

Published 17 Aug 2018, 12:19 pm, by MLS Career Services

Leading Vietnam-focused asset manager is looking for a Head of Compliance to manage the Compliance function across the firms' operation onshore and offshore, mainly based in HCMC with frequent travels to other offices in Asia.

About the Head of Group Compliance Role:

Based in Ho Chi Minh City, you will manage Compliance team for Vietnam-focused asset manager, with funds listed in Europe, report directly and indirectly to Chief Executive/Legal/Risk Officer. Main purpose of the job is to support the development, review, and production of policies, and guidelines, which are required to facilitate compliance with regulatory obligations, to ensure training of staff in compliance matters and to ensure compliance with regulations in different jurisdictions.

Key Responsibilities:

  • Responsible for the management of several compliance team staff members, including oversight and execution of responsibilities, performance management, and development
  • Assist the CLO/CRO in providing regulatory oversight, risk management, and forensic testing
  • Collaborate with internal teams regarding new business, marketing, operations, finance and technology to create and refine policies and procedures in areas such as best execution, due diligence, performance reporting, and advertising; keep the compliance manual up to date
  • Act as compliance liaison to internal committees
  • Ensure robust compliance program in place to meet regulatory filings and other obligations of such nature
  • Oversee the compliance team’s data production for internal and external reviews of the compliance program
  • Educate and promote our compliance program to staff
  • Stay up to date on all new regulations that impact the firm to ensure the business is compliant with new and existing regulations
  • Work closely with the various teams within the firm to provide analysis and resolution on compliance related matters
  • Drive compliance projects as required

Key Requirements:

  • Minimum 3 years of solid compliance experience at an international asset management firm, hedge fund, multi-family office or institution
  • A degree in Economics, Finance or Law major is appreciated. LLB and/or higher degree in a common law jurisdiction is a plus, but not necessary
  • Familiar with international governance standards and rules re AML / KYC, privacy, conflicts of interest
  • Successful management and development of individuals and teams
  • Strong written and verbal communication skills with demonstrated ability to communicate effectively
  • A results orientation with a strong sense of accountability
  • High level of oral and written proficiency in English
  • Ability to build effective relationships internally and externally
  • Ability to work effectively under pressure and being a strong team player

CVs and supporting documents should be forwarded to kiencnguyen@gmail.com;