Job Title: Compliance Officer
Company: Leading Private Equity Firm in Vietnam
Location: District 1, HCMC
Job Description:
We are in search of a dedicated and experienced Compliance Officer to join our team at a prominent Private Equity firm in Vietnam. The Compliance Officer will be instrumental in upholding regulatory adherence and ethical standards within our organization. The role involves collaborating closely with various departments to develop and oversee compliance protocols and procedures.
Key Responsibilities:
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Regulatory Adherence: Ensure the firm's compliance with all relevant laws, regulations, and industry guidelines governing private equity operations.
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Policy Development: Formulate, implement, and manage compliance policies, processes, and controls to mitigate risks and maintain regulatory alignment.
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Training: Provide comprehensive compliance training to staff members to foster a deep understanding of and adherence to regulatory prerequisites.
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Risk Assessment: Conduct regular risk assessments and stay vigilant about emerging compliance risks, implementing preventive measures as needed.
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Reporting: Prepare and submit compliance reports to senior management and regulatory authorities, as mandated by applicable regulations.
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Monitoring and Auditing: Conduct internal compliance audits and reviews to proactively identify and address potential compliance issues.
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Investigations: Lead or support internal investigations related to compliance matters and ensure the implementation of corrective actions when required.
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Due Diligence: Perform due diligence on potential investments to guarantee compliance with regulatory requirements.
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Communication: Serve as the primary point of contact for regulatory agencies and auditors, facilitating inquiries, examinations, and addressing any compliance-related matters.
Qualifications:
- A Bachelor's degree in a relevant field; a master's degree or professional certification (e.g., Certified Compliance and Ethics Professional - CCEP) is advantageous.
- Substantial experience in compliance, ideally within the private equity or financial services sector.
- Profound familiarity with Vietnamese regulatory requirements pertaining to private equity and financial services.
- Exceptional communication and interpersonal skills.
- Keen attention to detail with the ability to decipher intricate regulatory information.
- Proactive, able to work autonomously and collaboratively.