Business Risk and Control Management at UOB Vietnam (2026-04 – Present)
- Perform 1.5 Line of Defence risk and control activities across Personal Financial Services.
- Partner with Business Units and cross-functional stakeholders to align control enhancements with Local and Group requirements, covering risk assessments and control framework reviews in line with applicable laws and regulations.
- Manage the end-to-end issue and incident management process, from root-cause analysis to tracking corrective action plans, ensuring Issue Management Quality Standards are met and issues are escalated and reported with transparency.
Internal Audit at Shinhan Securities Vietnam Limited (2024-05 – 2026-03)
- Prepared audit plans for assigned units by identifying and assessing relevant risks to define audit objectives, scope, timeline.
- Executed audits according to approved audit plan, focusing on operational effectiveness and compliance with laws and internal regulations.
- Delivered comprehensive audit reports to related teams and provided actionable recommendations, ensuring clarity on corrective actions and process improvements.
- Advised on the revision of internal regulations and procedures to align with evolving laws, current market practices and strengthen the overall governance framework.
- Tracked remediation progress against committed timelines and verified completion of corrective actions before closing audit issues, ensuring root causes are addressed and recurrence is prevented.
Internal Control at VPS Securities Joint Stock Company (2023-05 – 2023-11)
- Conducted regular and systematic checks on various products and services within the company to ensure compliance with regulatory requirements and internal policies.
- Analyzed requirements and assessed risks associated with existing and new products, providing recommendations to mitigate risks and improve control processes.
- Collaborated cross-functionally in the development and enhancement of procedures, and policies related to product control and operational activities within the company.
- Prepared and submitted documents as required by government authorities, maintaining compliance with legal and regulatory standards.
Risk Management at KIS Vietnam Securities Corporation (2019-08 – 2022-10)
- Developed criteria for the company's margin lending stock list, ensuring stability in lending policies.
- Monitored real-time market fluctuations, stock liquidity and covered warrant positions to identify risks affecting customers' margin trading, and prepared independent daily position and hedging reports to ensure hedging ratios and risk limits were properly maintained.
- Monitored futures trading activity to ensure margin ratios were maintained in compliance with regulations.
- Updated processes and procedures on margin trading and risk reporting.
- Participated in functional improvements and testing for margin lending and derivatives products during the company's core trading system conversion and whenever new business requirements arose.
