Compliance Senior Officer - Phụ trách cao cấp pháp chế

1. JOB PURPOSE
This role has the responsibility to formulate company’s compliance strategies, conduct and manage compliance activities in coordination with all departments aiming at minimizing/controlling the legal risk in our new/existing business particularly that of Agency distribution channel and contributing to build compliance culture throughout the company.
2. ACCOUNTABILITIES
* Take initiatives to accomplish the missions of Compliance Team under supervision of Compliance Manager, specifically as follows:
- Plan, review and improve the compliance program which is the action plan to improve compliance and reduce misconducts.
- Implement, review the result of compliance program and facilitate all the departments to implement Plan-Do-Check-Action cycle for that purpose.
- Review the internal rules regarding (Agency) Compliance and have the sufficient internal rules, including Agency Compliance Manual and the guideline to handle sales materials, in place and ensure their timely update.
- Establish and maintain effective misconduct/misappropriation handling procedure, including classification/criteria of misconducts/punishment.
- Manage recommend the punishment for and implement the punishment for the misconduct cases in accordance with the relevant internal rules.
- Represent the company or give sufficient support to who represent the company and manage the relevant procedures for the legal disputes relevant to Agency channel including legal cases at the court (co-responsible with Legal team).
- Report periodically about misconduct/misappropriation cases to Management and relevant committees.
- Recommend and implement internal education framework for both employees and agents (e.g. periodical compliance seminar, compliance news etc.).
- Establish and maintain database of compliance issues, including misconduct cases in cooperation with Legal team.
* Others as assigned from Compliance Manager from time to time.​
​3. WORKING RELATIONSHIPS
* Internal interface
- This position reports to the Compliance Manager and works together with Legal team with regards to misconducts handling. Close cooperation with all departments/divisions, including relevant department in group companies is also required.
- Compliance team serves other departments/divisions, positioning itself as one corporate service function and the others as customers respectively, not in reactive but in proactive manner.
* External Interface
- Externally, Compliance team works closely with external legal firms, authorities as well as other professionals.
4. CHALLENGES
Build up a strong compliance culture throughout the company, particularly in Agency channel which has extensive sales network nationwide to enhance our brand and ensure sustainable business growth;
Convince other functions to put compliance in the center of every thing they do and to sometimes sacrifice short term benefits to the longer term ones.