Head of Risk Management (Techcom Securities)

Job Purpose

· Support and control the compliance of Functions in the company, to ensure that the companys operations comply with the provisions of the law, safe and effective operation.

· Build and operate the compliance control system in the company.

Key Accountabilities:

1. Check and supervise the compliance with legal regulations, the companys charter, decisions of the Board of Directors, regulations, professional processes, risk management processes of the company and relevant departments. and of securities practitioners in the company.

2. Responsible for:

- Identify, evaluate and control compliance with the Companys internal document system to ensure legal compliance. Monitor compliance systems throughout the company, and

- Assess the impact of newly issued legal documents on the companys internal document system.

3. Ensure clear receipt and dissemination of external legal notices, including an assessment of the regulatory impact on the companys relevant products and services. Ensure that affected units take follow-up actions in accordance with new regulations of law.

4. Develop, implement and supervise the work related to legal, code of professional ethics, code of conduct under TCBS, IB Division and member units according to the objectives of the work, responsibility responsibilities of TCBS, IB Division and member units on the basis of compliance, application and application of the law; handle situations, offer the most appropriate legal solution in consulting, document control, complaint settlement, money laundering and fraud prevention, inside information transactions and corruption.

5. Inspect and supervise the internal compliance with the professional activities of TCBS, IB Division and its member units; closely cooperates with the Legal Department and other departments of Techcombank to ensure that the activities of TCBS, IB Division and its subsidiaries comply with Techcombanks internal policies, regulations, processes and guidelines. and relevant laws and regulations, ensuring that the activities of TCBS, the IB Division and its member units do not affect the reputation and interests of Techcombank.

6. Training employees and related functional areas of TCBS, IB Division and member units in relevant legal knowledge and knowledge on compliance, anti-money laundering and prevention of fraud and transactions insider information and corruption.

7. Legal support or Internal control in managing legal issues arising from violations of regulations or professional ethics or having evidence in case of risks serious risk to the companys reputation to avoid reputational damage.

8. Supervising the calculation and compliance with financial safety regulations;

9. Independently and objectively evaluate all problems arising in the compliance control process, and at the same time give warnings and recommendations to overcome and prevent risks.

10. Training for company employees on compliance.

11. Develop and control compliance with anti-money laundering laws.

12. Perform other related tasks at the request of the leader.