Market Conduct Senior Specialist

Ensure compliance with laws, regulations and ethical conduct matters that have a substantial adverse impact on customers, salesforces, employees, the company and the market, promote the fair treatment and protection to customers.

Job Responsibilities

• Conduct review, monitoring, analyzing to identify trend, unusual activity related to violation, fraud, potential market conduct risk and shortcoming in control.

• Review and enhance indicators / systems for effectively monitoring.

• Review and develop preventive and detective control on violation, fraud and assess performance of control as and when required.

• Provide suggestions to strengthen internal controls and improve operating procedures for preventing violation, fraud and customer detriment.

• Support to prepare training course and engage with relevant stakeholder in delivering the course to enhance the awareness of compliance, management of customer interests, ethical and professional conduct.

• Support to review and maintain disciplinary policy and other required procedure / processes for sales force.

• Engage with business functions and collect feedbacks when reviewing policy, procedure, Memorandum, … with matter related to Market Conduct’s scope of work.

• Prepare necessary reports in English and Vietnamese

• Engage in the activities of the department / company.

• Other tasks to be assigned by the management, including field trips.