- Leadership and Management:
- Lead and manage the Legal and Compliance Department, including recruitment, training, and performance management.
- Develop and implement departmental strategies aligned with the bank’s overall goals.
- Legal Advisory:
- Provide expert legal advice to the executive team and board of directors on various legal matters.
- Draft, review, and negotiate contracts, agreements, and other legal documents.
- Ensure the bank’s operations comply with local and international laws and regulations.
- Assess the impact of new/amended regulations on the business and present appropriate steps to Senior Management.
- Compliance Management:
- Develop, implement, and maintain effective compliance programs to ensure adherence to regulatory requirements.
- Monitor changes in laws and regulations and advise on necessary adjustments to policies and procedures.
- Conduct regular compliance audits and risk assessments.
- Oversee and monitor the regulatory, compliance, operational risk, and Financial Crime Risk functions of the Company.
- Establish, where relevant, compliance monitoring programs on the Company’s activities and products.
- Risk Management:
- Identify and mitigate legal and compliance risks associated with the bank’s operations.
- Develop and implement risk management strategies and policies.
- Oversee the resolution of legal disputes and manage relationships with external legal counsel.
- Co-ordinate the process of conducting legal proceedings for all cases filed by and against the company.
- Corporate Governance:
- Ensure the bank’s corporate governance practices meet regulatory standards.
- Advise the board on governance issues and support the implementation of best practices.
- Monitor the Company’s compliance with internal policies and applicable laws, regulations, and guidelines.
- Stakeholder Engagement:
- Liaise with regulatory authorities, industry bodies, and other stakeholders on legal and compliance matters.
- Represent the bank in legal proceedings and negotiations.
- Deal with relevant regulatory authorities and external parties.
- Documentation and Training:
- Review the Company’s contracts, memorandums, and other legal documents drafted by related functional departments.
- Perform legal checking of the Company’s documentation before submitting to regulators for approval.
- Provide legal training to agents and staff to ensure updated knowledge of relevant legal issues.
- Supervise the review and approval of marketing materials and various legal documents.
- Product and Policy Review:
- Review new product programs for compliance with regulatory and internal policies.
- Revise/update product programs and credit policies to ensure compliance with laws and company regulations.
- Complaint Handling:
- Supervise complaint handling procedures and investigations to ensure compliance with regulatory guidelines.
Qualifications:
- Bachelor’s degree in Law (LLB) or equivalent; a Master’s degree (LLM) or professional certification (e.g., CPA, CFA) is preferred.
- Minimum of 10 years of experience in legal and compliance roles, with at least 5 years in a leadership position within the banking or financial services industry.
- In-depth knowledge of Vietnamese banking laws and regulations, as well as international compliance standards.
- Proven ability to manage complex legal issues and provide strategic legal advice.
- Regulatory Compliance and Legal Compliance skills.
- Knowledge of Law and Legal Advice.
- Experience in Due Diligence processes.
Skills and Competencies:
- Excellent analytical and problem-solving abilities.
- High ethical standards and integrity.
- Strong leadership, communication, and negotiation skills.
- Strong organizational and project management skills.
- Ability to work effectively under pressure and meet deadlines.
- Proficiency in both Vietnamese and English.