HEAD OF LEGAL AND COMPLIANCE - FINANCIAL SERVICES

PERSOLKELLY
Mức lương
Đang cập nhật
Địa điểm làm việc
Hà Nội
Kinh nghiệm yêu cầu
10 - 25 Năm
Chi tiết tin tuyển dụng

Mô tả công việc

Key Responsibilities
• Managing all local legal and regulatory matters (corporate, commercial, intellectual property, labor, litigation, etc.), compliance matters, corporate transactions, corporate secretarial issues, and regulatory affairs.
• Investigating and responding to complaints or matters of potential violations of law, regulation or policies or procedures. Evaluating and, as appropriate, responding to alleged violations of rules, regulations, policies, procedures, and standards of conduct.
• Developing, implementing, and administering the internal Legal and Compliance function to meet the requirements and expectation of local laws, regulators and global best practices with a focus on measures to ensure the independence of the rating service (including but not limited to implementing policies and controls related to management of conflict of interest and handling confidential information).
• Leading the preparation of regulatory reports.
• Conducting appropriate continuing legal and compliance training program for employees and establishing controls to verify completion and full understanding of such training.
• Developing policies, controls and procedures to implement, review and monitor the adherence to legal and compliance codes, guidelines, policies and procedures based on local requirements and global best practices such as the IOSCO CRA Code.
• Overseeing relationships with regulatory authorities, managing the regulatory affairs and advising on advocacy efforts, if required, for Company.
• Managing corporate secretarial function. Preparing Board materials and General Shareholders’ Meeting materials, updating Company charters, monitoring corporate governance developments to meet the Board’s needs and shareholders’ expectations, maintaining and updating key corporate documents and records of Company (CRA license, ERC, IRC, share certificate, shareholder’s book, shareholders’ agreement etc.),
• Drafting, reviewing and negotiating contracts (commercial, vendor, confidentiality agreement, authorization, employment, other terms and conditions).
• Functioning as the subject matter expert and providing advice on legal and compliance related matters for the Board, management team and all business lines.
and facilitating the onboarding of new members of the Board, if required.
• Maintaining working relationship with legal and compliance team of Moody’s for information or views or certain resources from Moody’s for the sole purpose of Company developing its own internal control policies and procedures.
• Managing and providing leadership, direction and support for all regulatory reviews and examinations.
• Travel as required.
• Maintaining measures in mitigating legal and compliance risk for Company.
• Maintaining up to date knowledge of applicable law, industry regulator landscape and trends to ensure capability and provide visibility to the Board and the management team.
• Managing and liaising with external counsel, as necessary.
• Assisting with similar or other compliance and legal matters that may come up from time to time.

Yêu cầu công việc

Requirements/Qualifications
• Experience in partnering with senior management and members of the Board is a plus.
• Commitment to integrity, compliance, and ethical culture.
• Ability to draw logical conclusions and present them in a clear and concise manner.
• The candidate must possess the maturity and experience to manage and influence a diverse set of stakeholders.
• Ability to multi- task and meet tight deadlines
• Experience in establishing start- up companies (preferably in financial services) is a plus.
• Strong interpersonal and communication skills.
• Excellent Vietnamese and English language skills
• Detail oriented with excellent follow- up and active listening skills.
• Proficiency in collecting and analyzing complex business processes, workflows, control relationships.
• Law qualification is required.
• The ideal candidate should have at least 10+ years of post- qualification work experience focusing on the Vietnamese financial services market, ideally with exposure working in a multi- national financial services company with extensive experience of handling matters related to law, regulatory, compliance and corporate secretarial matters.
• The successful candidate will be a high- energy, well- present and articulate professional with a can- do attitude and will exhibit a high degree of integrity, honesty and trustworthiness.
• Previous experience of dealing with local authorities and regulators is a plus.
• Ability to approach legal and compliance issues innovatively to achieve corporate strategic objectives.
• Self- starter; capable of working with minimal supervision.
• Personal competencies required for the role include:
• Influencing & Persuasion: Ability to influence key stakeholders through compelling charisma, passion in his/her beliefs, and active drive. Naturally connects and builds strong relationships.
• Executing for Results: Tenacious and accountable in driving results.
• Proactive & independent: Anticipates future needs of the organization and acts accordingly, have can- do spirit and take charge.
• Dealing with ambiguity: Comfortable with uncertainty.

Quyền lợi

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Cập nhật gần nhất lúc: 2024-04-03 11:21:53

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Thông tin chung

Ngành nghề
Pháp luật/ Pháp lý
Cấp bậc
Quản Lý
Kinh nghiệm yêu cầu
10 - 25 Năm
Trình độ yêu cầu
Đại học
Số lượng cần tuyển
Đang Cập Nhật
Hình thức làm việc
Nhân viên chính thức
Giới tính
Đang cập nhật
Hạn nộp hồ sơ
05/02/2024
Mẫu CV đẹp

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