Khối Kinh Doanh

Hồ Chí Minh

26-CVS_BOM-0081

• Plan and implement internal control activities in accordance with securities regulations, internal company policies and professional ethical standards. 
• Inspect and monitor compliance with operational procedures of departments in the company, including financial management and other securities-related operations. 
• Evaluate the effectiveness of the internal control system, identify bottlenecks and risks and propose corrective solutions to improve operational efficiency. 
• Participate in developing, reviewing, and updating intearnal regulations, operational procedures and internal policies related to securities activities and risk management. 
• Monitor compliance with regulations on financial safety and capital adequacy in accordance with securities laws. 
• Control and monitor compliance with regulations on anti-money laundering (AML). 
• Track, consolidate and report internal control results periodically and on an ad-hoc basis to management as required. 
• Support relevant departments in training and internal communication on compliance and internal control regulations. 
• Perform other tasks as assigned by the direct manager.

• At least 2 years of experience in an Internal Control position at securities companies, financial institutions, or banks. 
• Hold a formal university degree or higher in Accounting, Auditing, or Law. 
• Mandatory requirement: Possess two professional securities certificates, including: 

1. Certificate in Securities Law and the Securities Market; 
2. Basic Certificate in Securities and the Securities Market. 

• Preference will be given to candidates with experience in internal control or risk management roles at securities companies, financial institutions or banks. 
• Solid knowledge of legal regulations related to securities and the securities market, the Law on Enterprises and other relevant laws governing the operations and business activities of securities companies. 
• Honest, confidential, objective, careful, proactive at work and with a strong sense of responsibility. 
  
  Skills 
• Strong understanding of securities laws and the securities market; knowledge of fintech is an advantage. 
• Risk analysis, reporting and clear presentation skills. 
• Proficient in office software; knowledge of data analysis tools is a plus.

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