Experience

Ho Chi Minh City Securities Corporation (HSC)

• Vietnam
• Financial Services
• 200 - 300 Employee

• Senior Internal Control & Compliance Officer

  • Oct 2010 - Present

• Senior Internal Control & Compliance Officer

  • Oct 2010 - Present

   Assess the completeness and effectiveness of the operating controls to design,develop and conduct appropriate audit programs. Identifies potential areas of compliance vulnerability and risk;develops/implements corrective action plans for resolution of problematic issues,and provides general guidance on how to avoid or deal with similar situations inthe future. Reviews and appraises the soundness, effectiveness, and the proper application ofaccounting/financial controls. Based on the findings to document the “Actual Risks” in the Risk Register, whichaims to identify and then rank all material risks based on impact and likelihoodassessments. Discuss/ finalize significant audit findings with related persons, report and providerecommendations for improvements to the Manager, Director. Review the Company’s policies & procedures to ensure that they are strictlyfollowed and up to date with the applicable laws and regulations. Oversee the accuracy and timely submission of all regulatory reports to StateSecurities Commission (SSC), Ho Chi Minh City Stock Exchange (HOSE), HanoiStock Exchange (HNX). Perform other risk, internal control, and compliance-related tasks, as per Managerand Director’s reasonable requests as deemed necessary. Show less