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Head of Legal & Compliance

Job requirement


Ensure that the company complies with all of the statutory regulation placed upon it by all the relevant authorities, through the effective provision of policy guidelines, compliance reviews and associated management reporting.


  • Assist to set up legal and compliance department with skillful and knowledgeable staff in order to help other managers and departments to conduct their job in compliance with laws and regulations.
  • Identify, assess and communicate the compliance risks especially high risk areas which need immediate action to resolve; which ensure that the company is in compliance with all regulations.
  • Ensure that business policies, procedures and related manuals are explicitly defined and reviewed periodically in compliance with regulations.
  • Be able to implement/monitor/control procedures to ensure the compliance in practice.
  • Ensure that staff /departments are educated in respect to compliance with applicable laws, rules and standards; work with executive directors and senior management to improve their understanding of strategic and operational compliance and the business benefits it will bring.
  • Upon the CEO's direction, act as a contact point within the company for compliance queries from staff members and act as a change leader to promote and drive the delivery of compliance procedures to the company.
  • Inform immediately to the relevant authorities, any suspicious transactions reported by staff; report promptly any material breaches of laws, rules and standards to senior management and ensure that appropriate remedial or disciplinary action is taken if breaches are identified.
  • Provide an investigation capacity reporting to the Management Board, as required by the CEO, on areas of specific concern, including possible initial fraud investigation.

Job requirement

Qualification & experience

  • University degree in law and accounting, finance, business administration or related disciplines.
  • Knowledge of compliance, including planning, techniques, test and sampling methods.
  • Ability to conduct independent research and analysis.
  • Minimum of 5 years relevant experience in compliance at multinational organizations.
  • Advanced English, Vietnamese.
  • Able to speak persuasively and convey ideas clearly and concisely
  • An effective listener; allows time to hear and address feedback.
  • Possess thorough and accurate knowledge of the technical aspects of the financial markets and the FSA; capable of applying this knowledge.
  • Familiar with the financial business area, demonstrates a genuine and ongoing interest in the financial markets.
  • Ability to adopt new approaches in response to situational and personnel changes quickly and effectively.
  • Ability to manage several tasks at one time and is prepared to alter own work pattern to accommodate change.
  • Ability to quickly and efficiently determine the problem and provide potential solutions.
  • Capable of making decisions under pressure
  • Maintain excellent time management skills, always working proactively.
  • Keep all records current and presented in an accurate, clear and concise manner.


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