Investment Compliance Manager

We are inviting people with genuine interest in learning and developing their career to join MVFM department. People interested in below described job purpose and responsibilities are encouraged to apply for the position.

Main Job Purpose:

Band: 5

Work Location: Head Office -75 Hoang Van Thai street, Tan Phu Ward, Dist 7, Ho Chi Minh City

Report to:  Deputy General Director

Key Responsibilities:

· Maintain current awareness of applicable and proposed laws and regulations and make recommendations to Management on compliance with applicable regulations.
·  Develop and maintain the Company’s compliance policies and procedural manuals.
· Establish, guide and supervise the implementation of professional codes of conduct.
· Supervise activities which are potentially causing conflict of interest, including business activities of the Company. Manage personal trading disclosure program and perform gift clearance.
· Propose method to handle conflict of interest and dispute
· Propose plan in case of breakdown.
· Perform fund management and portfolio monitoring of compliance with approved parameters.
· Supervise the custody and separation of assets and capital of each entrusted investor, each fund and the Company.
· Supervise the valuation of net asset value of the fund and the pricing of fund certificate.
· Checking the legality, honesty, reasonability and prudence in fund management, asset and portfolio management, accounting books and reporting activities.
· Supervise idle capital and financial safety ratios.
· Evaluating financial reports; auditing accounting books, other documents of the Company, entrusted assets and fund management activities whenever necessary or as requested by the Company’s General Director.
· Prepare monthly compliance reports and other management reports as required.
· Maintain the Company and its licensed representatives’ licensing and professional training requirements
· Prepare/ Review shareholding disclosure reporting, and other applicable regulatory returns.
· Conduct training to related staff on compliance policy and procedures.
· Promptly report any breach of compliance policy and follow up with fund manager on action plan.
· Ensure marketing materials of the Company and the fund are in compliance with applicable laws and regulations.
· Ensure investor complaint handling procedures are in place.

Skills and experience required:

· Have a bachelor or higher degree specializing in economics (major in accounting) or law and at least three years working experience in a professional section of a securities trading organization, financial institution or bank.
· Professional qualifications and experience in accounting and auditing
· Adequate certificate of professional qualification in securities and the securities market (completed three securitites courses in Basic Securities, Securities Law and Securities Analysis, and/or holder of Securities Certificate issued by SSC)
· Ability to carry out research and provide interpretation and advice relating to applicable regulations in the local jurisdictions
· Ability to communicate compliance requirements to internal and external clients
· Strong sense of risk and control
· Strong knowledge of investment industry and international financial markets (including knowledge in fixed income and derivative products)
· Excellent communication skill (written and spoken)
· Knowledge in using Microsoft Office (Excel, Word, Access & etc)
· Ability to work under stress and meet tight deadlines
· Strong problem-solving skill
· Ability to work independently with minimal supervision