Mô tả công việc
Job Purpose
Ensure effective management of market and customer conduct risks by establishing monitoring, governance, and control frameworks to comply with laws, regulations, and ethical standards, while safeguarding fair customer treatment and protecting the company’s integrity.
Key Responsibilities
1. Monitoring & Risk Identification
- Conduct regular monitoring and analysis to identify trends, misconduct, fraud risks, and control weaknesses
- Track key conduct risk indicators (KRIs), sales quality metrics, and unusual activities
- Support reporting and escalation of emerging risks to management
2. Governance & Program Management
- Implement and maintain market & customer conduct programs across first line and supporting teams
- Support development and execution of governance frameworks, policies, and procedures
- Ensure alignment between Line 1 (business) and Line 2 (compliance oversight)
3. Control & Risk Mitigation
- Design, implement, and enhance preventive and detective controls to address misconduct and fraud risks
- Perform control effectiveness reviews and post‑implementation assessments
- Manage key initiatives such as mystery shopping and quality assurance programs
4. Advisory & Process Improvement
- Provide advisory to business units on product, process, and policy improvements
- Review and contribute to internal policies, procedures, and guidelines within conduct scope
- Recommend enhancements to strengthen customer protection and internal controls
5. Training & Conduct Culture
- Develop and deliver training programs to promote compliance, ethical conduct, and customer‑centric behavior
- Support awareness initiatives for salesforce and relevant stakeholders
6. Sales Force Conduct Oversight
- Support governance of salesforce conduct, including disciplinary frameworks and case reviews
- Contribute to misconduct assessment and recommendation of appropriate actions
7. Reporting & Stakeholder Coordination
- Prepare periodic conduct risk reports, dashboards, and management updates
- Coordinate cross‑functional stakeholders to ensure timely data collection and issue resolution
- Track and follow up on remediation actions
Key Requirements
- Education: Bachelor’s degree in Law, Finance, Economics, Business or related field
- Experience: ~5–7 years in compliance, legal, audit, or risk management
- Skills:
- Analytical and problem‑solving
- Stakeholder management and communication
- Risk and control mindset
- Reporting and data analysis
Key Competencies
- Customer‑centric mindset
- Strong execution and accountability
- Strategic thinking with practical judgment
- Collaboration and stakeholder influence
- Continuous improvement mindset