Compliance Staff

1. Conducts, oversees, implement, revews and appraises the regular internal regulation and AML & sanction program of Head Quarter.

2. Performs internal audits and ongoing reviews of HQ’s controls, operating procedures, to ensure compliance with the policies and regulations set forth by the regulators and by the bank.

3. Ensures that IBK HCM’s established policies and procedures are being complied with and that required controls measure are in place

4. Overseas the accuracy and timely submission of all regulatory reporting requirements (reports to the State Bank of Vietnam, other competent authorities and Head Office)

5. Monitors the Company’d Delegation of Authority Level and ensures that it strictly followed and regularly updated (if need arises)

6. Complies and reports relevant business related issues and provides recommendations for improvements to the Managers, business lines managers for their subsequent evaluation and implementation.

7. Conduct customers’ transaction monitoring

8. Review and monitor suspicious activities report (SAR) filing

9. Ensure the performance of the team is completed timely and in expected quality

10. Perform other assignements as assigned