Ho Chi Minh City
Risk & Compliance Assistant

Main duties:

  • Maintain and monitor the Company and fund compliance including compliance policies
  • Daily in charge of regular and ad hoc regulatory reports of local funds and Fund Management Company
  • Assist in the preparation and disclosure of statutory and regulatory reports for VinaCapital, its funds, managed accounts and other products under management
  • Directly liaise with internal or external parties, such as Investment, HR, Legal, Sales & Marketing, Operations, custodian banks, etc.
  • Develop and supervise corporate compliance programs to ensure the Company businesses are aligned with Vietnamese laws, specific regulations of the State Securities Commission of Vietnam as well as VinaCapital Group’s policies on finance services
  • Anti-money laundering (ML) and anti-corruption tasks:
    • Assess ML risks and maintain on-going monitoring on clients and partners
    • Regular update template and information related to ML risk assessments
    • Manage information of customer risk rating in the system
    • Conduct and monitor training anti-money laundering and anti-corruption
  • Ensure that all reporting on the Manager and funds level related policies & procedures are in line with the compliance and regulatory requirements
  • Coordinate the internal audit process including defining the internal audit plan, managing the internal auditor’s fieldwork, and reviewing the internal auditor’s reports
  • Ensure reports and other important documents are filed and secured properly to protect company information and ensure compliance with regulatory requirements
  • Assist in funds’ compliance checks and preparing monthly investment risk reports
  • All other tasks as assigned
  • Escalate issues to line-manager where necessary.

Requirements:

  • Degree holder in Finance / Accounting or related disciplines
  • 1-2 experience years preferred hands-on fund compliance experience/Asset management/ fund products; experience in dealing with Regulators is a plus; Fresh graduate with high commitment, willing-to-learn is welcome
  • Good understanding in investment products; securities products and  anti-money laundering
  • Candidates who have completed all or most of the courses of the Vietnamese securities certificate program are highly preferred
  • Good command of written and spoken English
  • Strong attention to detail, clients-oriented mindset, self-motivated, keen to learn, good team player, excellent communication
  • Willing to do multi-tasks with high responsibility; honesty, and interpersonal skills
  • Strong sense of ethics and professional integrity.
To apply for this job email your details to application@vinacapital.com