[Compliance] - Compliance Leader

JOB SUMMARY:

As the Compliance Leader in Liberty’s Vietnam operations, you will be responsible for all facets of the Company’s insurance compliance program.  You will work closely with the Asia Market CRCO, Legal Counsel and the executive management in providing sound compliance advice and developing strategies and guidance in support of that advice.  You will carry out actions that have an impact upon the rights, privileges and responsibilities of the Company while maintaining high standards of compliance, business ethics and professional responsibility. You will also be responsible for developing and maintaining the Company’s compliance policies and procedures; coordinating the preparation of regulatory filings; developing an effective compliance training program; maintaining regular communications with all relevant regulatory authorities (including the OIC); maintaining and ensuring proper corporate governance framework; and identifying potential areas of focus from a compliance risk standpoint.

DUTIES & RESPONSIBILITIES:

• Ensure compliance with applicable laws, regulations and policies that are relevant to the group of companies.
• Work with Liberty’s corporate compliance team and Global Compliance & Ethics (GC&E), to maintain a culture of compliance, responsibility and doing things right, and proactively facilitate GC&E’s initiatives to embed ethics and compliance in the Company.
• Perform an annual compliance risk assessment of the Company, including identification of emerging issues.
• Manage misconduct violations in consultation with the relevant committee and GC&E
• Provide regular reports to AMCM CRCO and GC&E on, among other items, emerging risk, misconduct allegations, investigations or discipline related to compliance misconduct; and provide reports to local senior management, local and HO International Legal and Board of Directors as required or appropriate.
• Provide advisory and implement compliance policies and procedures to ensure compliance with all Liberty protocols and regulatory requirements.
• Promote Compliance awareness and culture through establishing and conducting staff workshop and training.
• Maintain communication with branches to ensure all applicable compliance needs are being addressed.
• Manage the planning and execution of the Annual Compliance Plan and Liberty Mutual global compliance policies, and assist in orientation and training of employees on the Company’s corporate compliance program.
• In collaboration with Corporate Legal, Risk and Internal Audit, investigate complaints and allegations of violations of the Company’s rules and report findings, conclusions, and recommendations to the management.
• Perform annual Compliance Risk Assessment, conduct periodic compliance monitoring by reviewing business unit practices against regulatory requirements, report results to management and oversee implementation of corrective actions.

QUALIFICATIONS:

• Minimum 4 years of compliance/internal audit background in/for the Financial Services industry.
• Good understanding of OIC regulatory requirements is a must.
• Ability to communicate effectively in English, both written & oral.
• Ability to identify and analyze organizational needs with solid problem-solving abilities.
• Pay good attention to detail in a fast-paced work environment and able to manage and prioritize multiple projects simultaneously to drive results.
• Good interpersonal skills and comfortable in leading meetings and communicating issues and trends to senior management and other groups with the appropriate level of detail.
• Driven and flexible enough to succeed in ambiguous and less structured situations
• Must demonstrate high degree of integrity, honesty, and ethical behavior.