Distribution Risk and Compliance Management Senior Specialist

The responsibilities of the Distribution Risk & Compliance Management Senior Specialist consist of but not limited to the following:

- Monitoring monthly management information (MI) reports, tracking quality of sales activities in conjunction with company’s policies, including, but not limited to, customer commitments policy, suitability requirements, sales conducts and practices, including management of TR/RB, sufficient and proper training and licensing, management of customer money, etc.

- Perform data analytic on Suspicious Activities, including but not limited to Fraudulent activities, misconduct, and agents’ attitude and root-cause analysis to come up with the Action Plans for identified issues

- Meet with representatives of Risk Division [Legal, Compliance, ERM] on the issues noted, the improvements to be done and things need to consider by the concerned distribution forces.

- Perform thorough and continuous SQA activities, including field spot-check/reviews, with related parties with objectives to ensure determined action plans are practicable, relevant and able to address root causes of identified risks/issues.

- Monitor the progress of actions (owned directly by the respective sales forces), and update the same to the SC at its meeting interval
- Conduct communication, sharing or training to sales forces for purposes of raising awareness on company policies and requirements.

- Support Distribution manager in circulating and communicating the critical guidelines and/or policies to agents/sales staff in local offices/banks.

- Perform Contract management for Partnership Distribution and support Partnership Distribution the matters related to contract and partners

- Drive process improvement and policy development initiatives that impact the function

- Gain and update job knowledge to remain informed about novelty in the field

- Other direct request from Line Manager

- Proven working experience related to Accounting, Auditing, Planning, Analysis or Internal Control

- Proficient in spreadsheets, databases, MS Office

- Hands on experience with reporting and analysis for the assigned indicators

- Excellent Professional presentation, reporting and communication skills in English and Vietnamese

- Proven knowledge of operational forecasting and diagnosis, corporate governance, sale performance and information analysis

- Well informed in current operational and financial subjects, accounting, tax laws, money market and business environments

- Has abilities to transfer knowledge, training and work independently

- BS degree in Accounting, Finance, Economics , Statistic or related fields

- Detailed oriented and has the ability to think out-of-the-box

- Experiences in related industries such as banking, insurance, accounting, auditing or consulting are not required but a plus

- According to company's policies

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