Legal & Compliance Senior Advisor

Position Title: Legal & Compliance Senior Advisor
Department: DBS – HCMC Branch
Rank: Senior Associate/ AVP
Section: Legal & Compliance
Reports To: Head of Legal & Compliance

Job Purpose

• Provide legal and compliance advice and support to the branch, thereby enabling the bank to effectively and proactively manage legal and regulatory risk.
• Implement Group Legal & Compliance policies and frameworks at the branch.
• Manage & control legal and compliance risks and issues for the branch.
• Develop and strengthen the compliance culture and thereby protect the reputation of the bank.

Key Accountabilities

1. Legal

• Take lead in providing professional advice on laws and regulations applicable to the branch and all relevant changes and developments.
• Manage standard documentation for the branch.
• Ensure appropriate procedures and guidance are developed to allow the branch to effectively manage legal and contractual risks.
• Facilitate the resolution of legal and contractual issues as required.

2. Compliance

• Develop and promote a strong compliance culture within the branch.
• Ensure that key regulatory and compliance risks are effectively identified and managed.
• Develop appropriate and adequate compliance procedures and monitoring programs to ensure regulatory compliance.
• Ensure the compliance with Group’s Standards/Policies/Guides and Local’s Policies/ Procedures applicable to all businesses and functions across the branch.

Job Duties & responsibilities

1. Legal

• Provide responsive, sound, coherent & consistent legal advice on regulatory, contractual issues in relation to products, services and transactions.
• Review and provide recommendations on the legal aspects and considerations for the development and deployment of new products and services as well as any key business initiatives.
• Prepare and review standard documentation for the branch.
• Establish, review and update internal rules, policies and guidelines to meet best practice regulatory and industry standards for the management of legal and contractual risks.

2. Compliance

• Provide responsive, sound and consistent compliance advice, interpretation and recommendation on regulations and policies arising from enquiries or new products/business initiatives. Review impact of new / amended regulations and coordinate for regulation gap analysis.
• Ensure effective interpretation and recommendations on regulations and policies affecting the branch.
• Develop, maintain and implement effective compliance programs and carry out regulatory compliance monitoring activities.
• Facilitate businesses in establishing, reviewing and updating internal rules, policies and guidelines to meet best practice regulatory and industry standards.
• Assess training needs, develop and review training materials, and conduct training for business units.
• Liaise and resolve issues with regulators arising from regulatory inspections and other regulatory clarifications.
• Take the lead in resolving Compliance related issues, including dealing with audit.

1. Experience: At least 8-10 years of experience in legal/compliance related work, preferably with a foreign bank in Vietnam.

2. Education / Preferred Qualifications: Degree or professional qualification in Law.

3. Core Competencies

• Excellent analytical and problem solving skills
• Good communication and presentation skills

4. Technical Competencies: Extensive work experience and strong knowledge of banking laws and regulations.

- Attractive salary and bonus
- Good Benefits: Employee health care; Maternity leave with full paid salary, Child care leave,...
- Professional, dynamic working environment

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