Internal Control - Compliance Investigation Officer

1.   JOB PURPOSE

• The Compliance Officer - Investigation Team plays a key role in ensuring the organization’s compliance with internal policies and external regulations by conducting investigations into potential misconduct or breaches. This role requires strong analytical skills, attention to detail, and the ability to work both independently and collaboratively to uphold the company’s integrity and ethical standards.

2.   ACCOUNTABILITIES

• Investigate compliance-related incidents involving agents, including data collection, interviews, and analysis of evidence.
• Document investigation findings and prepare clear, concise reports in Vietnamese (some are in English) for management and relevant stakeholders.
• Support developing and implementing corrective actions and preventive measures based on investigation results.
• Collaborate with internal teams, including Risk Management, Legal, Agency, and Alternative Distribution, to resolve compliance issues effectively.
• Stay updated on relevant regulations and company policies, ensuring investigations align with industry standards.
• Assist in compliance training programs to raise awareness among agents and staff.
• Provide support for audits and regulatory inspections related to agent compliance matters.

3.   REQUIREMENTS

Education & Experiences

• University degree in a related field (e.g., Law, Business Administration, or other relevant disciplines).
• 3-5 years in life insurance business, preferably in A Sales-related position.
• Proficient in compliance regulations, policies, and investigative methodologies in the financial and insurance sectors

Technical skills

• Proficiency in investigative techniques: Capable of conducting investigations independently, including interviews, evidence collection, and documentation
• Risk Assessment: Identify and evaluate compliance risks independently, proposing practical and effective mitigation measures to address potential issues.
• Report Preparation: Write comprehensive, well-structured investigation reports that clearly communicate findings and actionable recommendations to stakeholders.
• Legal and Ethical Standards: Apply a strong working knowledge of legal and ethical frameworks to ensure investigations are conducted with integrity and professionalism.

Soft skills

• Communication: Essential for clearly conveying findings, collaborating with teams, and managing stakeholder expectations. Written & and speaking skills in English are an advantage.
• Proficiency in Microsoft Office tools (e.g., Word, Excel, PowerPoint).
• Time Management: Essential for managing multiple investigations and meeting deadlines in high-pressure situations

Personal attributes

• Demonstrates integrity, discretion, and confidentiality while managing sensitive information.
• Proactive, detail-oriented, and organized, able to manage multiple tasks and meet deadlines in dynamic environments.
• Strong communicator and team player with a positive attitude, adaptable to pressure and changing regulatory conditions.

4.   CHALLENGES

• Leading investigations of high complexity, making decisions on evidence collection and reporting.
• Identifying areas for improvement in the compliance program and proposing strategies for continuous improvement.