Job Detail: Country Legal & Compliance Head

Legal :

• To provide legal advice and assistance relating to the businesses of the bank including those relating to business development, new products and businesses, restructuring and compliance.

• To carry out legal research that helps to identify legal issues arising out of the business, affairs and operations, research and review existing and new relevant laws, rules and regulations in Vietnam and advise management of all legal implications.

• To draft, review and negotiate legal agreements, documentation and correspondences involving, and liaising with, customers, counter-parties, third party service providers or their legal representatives.

• To conduct and supervise, in conjunction with any external lawyers, any claims, disputes and litigation of or involving the companies with the regulatory authorities, customer, employees and other third parties.

• Where necessary and appropriate, to represent and act in the best interest in any proceedings with the regulatory bodies.

Compliance :

• To advise on the development of internal management, control and supervision for the bank.

• To draft and implement Compliance Manual comprising compliance policies and procedures. To revise and update compliance policies and procedures to complement changes in legal, regulatory and internal requirements.

• To monitor and enforce compliance by the bank and its employees on internal and external legal, regulatory, codes, policy and procedural requirements.

• To implement training programs of compliance policies and procedures for staff.

• To implement briefings for dealing staff on the register of securities.

• To implement and conduct special training programs for all relevant staff on changes in laws and regulations and compliance policies.

• To implement refresher training programs for all staff on important topics.

• To advice on new products and businesses from a compliance perspective.

• To supervise special investigations at the request of senior management.

• To act as liaison with the relevant regulatory authorities and agencies to deal with, clarify and resolve compliance issues.

Corporate Secretarial :

• To manage, supervise and direct the corporate secretarial requirements, functions and activities of the bank, including but not limited to: all board resolutions, shareholders resolutions, minutes of meeting and corporate documents, notices, correspondences, all necessary statutory returns and forms with the Registry of Companies and Businesses, all statutory books, registers and records relating to the Companies, changes in directors, transfers of shares, capital increases or reductions, update of M&A etc and the authorized signatories list of the bank

• To liaise with the regulators on any licensing applications an issues.

• To advise and report to senior management on various matters and conduct Legal & Compliance meetings on a periodic basis.

Provide leadership in people management for the legal & compliance function :

• Identify critical talent and succession gaps in the function and develop appropriate plans/strategies to ensure continuity.
• Train and development team members in the function to ensure a high level of professionalism in meeting the desired performance standards and functional objectives.

• The successful candidate is expected to have the relevant legal professional qualifications from a recognized institution.   While the ideal candidate should be a local, foreigners currently working in Vietnam will be considered.  Familiarity with the Vietnam regulatory requirements in the financial sector will be a definite advantage.

• Ideally the professional should have substantial experience (8 to 12 years) in private practice or in-house legal and compliance work in financial institutions.  

• A strong grasp of English both written and spoken is a must. 

• He would be a credible professional who is able to inspire confidence and respect both internally and externally.

• An individual with an inquiring approach and the ability to “ask the right questions” and take tough calls.   

• Ability to manage change in a fast-paced environment; experience in dealing with unsettling business environment and in effecting operational strategies accordingly.

•  Excellent interpersonal and negotiation skills.

• A self-starter who is energetic and team-oriented in approach.

• Impeccable integrity.