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assistant vice president / vice president, INVESTMENT BANKING & ADVISORY

Job Descriptions:


·         Expand the network to seek for a mandate in investment banking

·         Identify the list of target company to pursue. Make amendment criteria to filter target every 6 months to meet ongoing market’s taste

·         Develop, maintain close relationship with targets to seek for a mandate

·         Execute, complete  the mandate

·         Supervise and motivate subordinates to complete documentations for CF work

·         Prepare pitch book, teaser to originate a deal

·         Prepare valuation model for a deal

·         Prepare IM to proceed a deal

·         Active to deal with obstacles to hinder a deal


Qualifications & other requirements:


·         Education: Bachelor degree or professional qualification.

·         Equivalent professional qualification such as CPA, CFA, ICAEW, ACCA, CIMA etc

·         Year of experience: Minimum 7 year experiences in related fields and 4 years in senior managerial position

·         Related fields: Any recognized graduate degree, preferably in Banking, Corporate Finance, Accountancy, Economics and Business Administration

·         Strategic thinking and analytical skills

·         Relationship building/networking

·         Managerial skills

·         Mature with the ability to work independently and motivated with leadership skills

Candidates are invited to submit your CV/resume by email to: . Applications will be handled in confidence.


senior analyst/asociate, INVESTMENT BANKING & ADVISORY

Job Descriptions:


·         Perform feasibility and viability assessment / study on potential pitches

·         Prepare advance financial models with valuation and comparables

·         Ensure client is updated with progress reports and communicated on latest developments on a timely basis

·         Define and effectively articulate issues and potential solutions

·         Guide and supervise Senior Analysts and Analysts in preparing PIBs, pitch books, proposals, mandate letters, etc

·         Guide and assist team members (including Product Team) in understanding their scope of work for each assignment so that they would fully understand the objectives and requirements of the tasks that have been assigned to them

·         Monitor and manage team members (including Product Team) to ensure timely, effective and quality service and product delivery

·         Coordinate meetings, logistics and other project related administrative matters

·         Manage clients at appropriate levels independently

·         To familiarise self with regulatory requirements and keep abreast with regular updates.

·         Highlight issues and potential solutions to TH, Co-Head of M&A where appropriate

·         Undertake review of documents produced by team members


Qualifications & other requirements:


·         A recognized degree in Accounting, Finance, Commerce, Legal, Business Studies,  Economics, Science (Engineering, Maths & etc);or

·         Masters (MBA or MSc) in Business, Accounting, Management; or

·         Equivalent professional qualification such as CPA, CFA, ICAEW, ACCA, CIMA etc

·         Min of two to three (2-3) years experience in corporate advisory

·         Ability to perform work under pressure in meeting tight deadlines

·         Ability to work with minimal supervision

·         Integrity is paramount

·         A good team player

·         Excellent interpersonal, analytical and problem solving skills

·         Posses effective communication and presentation skill

·         Core and leverage technical skills

·         Mature with the ability to work independently and motivated with leadership skills

Candidates are invited to submit your CV/resume by email . Applications will be handled in confidence.


bcco (business compliance control office), OPERATIONS

Principal responsibilities

- Provide advisory to the various lines of business.

- Support lines of business in product risk assessment.

- Execute/Monitor end-to-end compliance processes in accordance with the design and controls.

- Perform appropriate testing and relevant risk assessment of the business.

- Regular perform training needs analysis and identify training needs for specific employees. Conduct regular training for business.

- Report compliance risk regularly to the relevant business councils/committees.

Project responsibilities

- Work collaboratively with relevant stakeholders to establish effective controls and procedures and quality assurance processes of the project(s) expected to be rolled-out for MSVN.

- Manage relationships with internal and external stakeholders.

- Report progress, issues, dependencies and risks to Central Programme Management Team and committees as appropriate and make recommendations to influence decision making in order to maintain progress towards delivery.

BAU responsibilities

  • Support Business decision making on AML/sanctions risk either at on-boarding or transaction processing stage.
  • Help Business to manage AML/sanctions risk (both in micro and macro level) in accordance with Group Standards and Business Risk Appetite and Vietnam regulations. 
  • Support Business Heads by providing informed and evidenced confirmation to CEO/Board that the division is compliance with internal policies, procedures and risk appetite.
  • Perform 1st Line Quality Assurance for CDD/CRR on-boarding and periodic review.
  • Prepare LoB AML/CFT Dashboard and provide input for AML/CFT reporting.
  • Act as 1st LOD contact for any Policies and procedures queries.
  • Upskilling of 1st LOD – regularly identify ongoing training needs, develop training materials and deliver training as needed.
  • AML/CFT Control design and governance – Provide input for process design of key AML/CFT related processes and controls.
  • AML/CFT Self-Assessment – Identify Key Risk Indicators (KRIs) and conduct regular Business Risk Assessment and implement remedial actions.
  • Product Risk Assessment – Support product related assessment and provide confirmation that AML/CFT product risk is adequately assessed/reflected prior product launch.
  • AB&C – review and provide comments to Business when any compliance triggers escalated; perform QA review on a monthly/quarterly basis; work together with Finance and HR to coordinate the annual AB&C Risk Assessment exercise.
  • Other compliance control and related tasks assigned by CEO and/or Head of Operations in managing compliance risk at the 1st LOB which made the scope wider and not limited to what’s stated.


Reporting lines

  • Directly report to Head of Operations, MSVN
  • Functionally report to Business Heads of MSVN i.e. Head of Retails, Head of Institutional and Head of IB&A.


Working Relationship

  • Internal: Compliance, Risk Management and functional stakeholders across MSVN
  • External:

o   State Bank of Vietnam - SBV

o   State Securities Commission of Vietnam – SSC

o   Vietnam Securities Depository - VSD

o   Hochiminh Stock Exchange - HSX


o   Hanoi Stock Exchange - HNX




        Job Description


 -          In charge of custody transaction related (deposit, withdraw, transfer)

-          Provide guidance on the regulation requirement to business support staffs at branches.

-          Process right issues and other corporate action.

-          Process odd lot stock buying for client.

-          Prepare and send daily/weekly/monthly report to VSD, Exchanges and Internal.

-          Prepare and send Trade Confirmation and settlement related reports to Institutional Client.

-          Process payment of related charges for VSD and the Exchanges.

-          Manage share code list.

-          Open account/ change info for institutional clients, including applying STC.

-          Change Clients’ information in internal and VSD system

-          Perform AML/ FATCA and prepare report to related stake holders.

-          In charge of system automation enhancement project.


-          Bachelor in Economics, Finance, Banking, Accounting.

-          A minimum of 3 year experience in securities field.

-          Fluency in English, written and oral.

-          Excellent in planning, organizational, and time management skills.

-          Experience in creating detailed reports and giving presentations.


-          Good relationship building.


EXECUTIVE, E-commerce Business

Job Purpose

  1. Support client to have a good experience with Maybank
  2. Train newcomers about the basic Market Investment Structure as well as efficient working process

3.     Customer Service and Digital Sale:

  •  Maintain and ensure the number of active accounts and online revenue to archive individual KPI.
  •  Build and keep good relationship with clients to increase client’ rating with Ecommerce Business. 

Principle Accountabilities 

  • Contact and follow clients to finish the contract

    Support and follow clients to help them receive good experience from MSVN to gain a good favor from clients

    Contact and follow clients frequently to increase the active rate

  • Gain more clients information to understand their flavors in order to connect them with the suitable product.
  • Give the market’s information, advices from Expert who have understand the market to help clients improve their portfolio’s performance
  • Guarantee quality of ecommerce business services and comply with process
  • Receive, work and met KPI every year
  • Introduce Maybank’s financial product: Join any product or promotion building project
  • Train newcomers about the basic Market Investment Structure as well as efficient working process
  • Hunting and recruiting newcomers to increase Ecommerce Business revenue and number of clients.


Qualifications & Competencies 



  • Graduated University/ Colleges in finance
  • At least two years relevant experience


  • Good clerical work experience.
  • Good customer services experience
  •  Demonstrate accuracy and thoroughness. Work in an organized manner.
  •  Effective communication skills: writing, speaking and listening.
  • Ability to contribute to a productive work environment: positive, team-oriented, customer-oriented



 1) Job Purpose

 Searching and developing number of customers.

-         Maintaining services quality.


-         Growing market share, trade value. 

2) Principle Accountabilities

Developing number of clients:

-         Searching potential clients through existing relationship in different ways (direct conversation, call, email…) to find out clients’ demand and get information.

-         Attend seminars, talk shows with specialization in stock exchange of other organizations.


-         Coordination with training stock exchange agencies.   

Customers services:

 -         Assist customers in procedures of opening account.

-         Monitor customers’ accounts to inform and update investment lists, obligation with customers’ settlement of payment.

-         Update policies, information to customers about stock market.

Consult on investment:

-         To consult on buying – selling, key-in orders as customers requests.


-         To consult on products that organization is having.

Coordinate with related departments: 

-         Checking and addition related invoice, statement (dealing slip…)

-         Work with Research Dept to organize seminar, training for investors.

-      Work with FA, CCS to complete procedures of payment, margin.


-         Preparation of reports as senior (manager) requests.

-      Comment and propose solutions to push brokers’ activities.

3) Qualifications & Competencies 


 -         Degree in Administration in Business/ Finance.

-         License in finance/ relevant certificate.

-         Knowledge in basic analysis and technical analysis.

-         Understand about finance, social, political.

-         Experience: 1 year ( interact and develop customers)


-         Presentation and communication skills.

-         Ability to work  with pressure (independence and team work)

-         Ability to do report of analysis.

-         General English & English in office.

-         Computer skill, web surfing (to get information).


4)  Major Challenges (Describe the most challenging or complex part of your work)


-       Errors in taking and key-in orders (wrong account, wrong quantity, mix up between buying and selling…). It affects customers’ investment, company’s reputation and lead to compensation of loss in finance for customers.

-       Provide information of customers’ account status and financial products go wrong.



Market information is not timely affect customers’ investment

5) Working Relationship

  • Internal: Compliance, Risk Management and functional stakeholders across MSVN
  • External:

o   State Bank of Vietnam - SBV

o   State Securities Commission of Vietnam – SSC

o   Vietnam Securities Depository - VSD

o   Hochiminh Stock Exchange - HSX 


o   Hanoi Stock Exchange - HNX


1) Job Purpose

A part of Retails Equity department.

- Support the Brokerage Director / Head of Retails equities in managing, developing branch /Sales unit to obtain the assigned target and making the branch in compliance with the MBKE’s processes.

- Create conditions for inheriting human resource (potential Brokerage Director in the future).

2) Principle Accountabilities

2) Principle Accountabilities

Describe the key activities that you are expected to achieve. Start with the most important

Outcomes/ deliverables targeted



Supporting Activities

Outcome/ deliverables

- Planning, following, review and adjust strategy for middle and long term sales plan for Branches/ Sales unit which were directly managed by Sales Director.

- Undertake and support Branch/Sales units which were directly managed by Sales Director to achieve the performance on the target.




- Planning, managing, organizing & monitoring the activities of Sales unit which were directly managed by Sales Director.

- Support Brokers/Sales staff to achieve sales target by sharing/training involved skills (customer service, financial consultant, v.v...)

Meet the broker policy about the quantity of brokers, the sales target of each broker and the sales target of the Branches/Sales unit.

- Managing, developing Branches/Sales unit to obtain the assigned target (sales target, market share).

- Building and developing the all Branches/ Sales unit‘s activities and supporting brokerage activities in Head Office

- Managing, training and developing the broker forces.

- Managing, developing the excellent relationships with customers (Individual & Corporate).

- Support brokers to achieve sales target.

- Get and solve the requests of brokers.

- Do Branches/Sales unit monthly business report about the activities, competitors and proposal.

The assigned targets are on or over target (the Branches/Sales unit KPIs).

- Contributing, building, improving the regulations, processes, policies, transaction system and related financial products.

- Advise Brokerage Director in establishing broker policy, promotion programs, job scheduling and proposing plans to improve work efficiency.

- Survey and updating constantly information of competitors: Interest rate, new products, client policy, broker policy, PR activities, marketing.

- Advise policy, business strategy consistent with market conditions.

Number of competitors’s survey is on or over target (the Branches/Sales unit’s KPIs).


Planning and organizing  seminars, internal training, events in Branches/Sales unit or support any activities from head office.

- Writing the document & content for training.

- Train brokers/sales staff new updated transaction rules in Vietnam stock market.

- Training new clients about basic knowledge of stock market.

- Formulating & review training programs for the Brokers/Sales staff after that suggest the Manager of training department or head of research to train broker about financial analysis, soft skills, new products, new processes, ...

- Coordinate with the relevant departments to organize big seminars, events.

Number of event is on or over target (the Branches/ Sales unit’s KPIs – if any).

Ensuring Branch/Sales unit in compliance with the MBKE’s processes/ regulations.



- Implement the related content (policy, processes) to broker.

- Build respectable routine of work in compliance with the company's culture

- Monitor brokers to ensure broker in compliance with all internal and regulatory guidelines and regulations.

- Coordinating and preparing the documents suggested by Compliance department.

- Assigning, monitoring and controlling the storing of clients' order slip.

Branch/Sales unit’s activities are in compliance with the MBKE’s processes/ regulations.


Do other tasks as requested/authorized by Head of Retail Equities and CEO.



Brokerage Director evaluates the performance of the tasks.

3) Scorecard Dimensions 


3)     Scorecard Dimensions (indicate data relevant to your job)

Financial Perspective:

- Direct impact on brokerage revenue and margin value of the branch.

- Minimize all cost to get highest profit.

Customer Perspective:

- Meet clients’ expectation & requests.

- Build and keep good relationship with clients.

Business Process and Initiatives:

- Well knowledge of financial products and internal processes.

- Contributing ideas to the relevant departments (OPS, Credit, F&A, Research) to build the suitable processes, financial product, research report.

- Understanding the demand/taste of clients in Vietnam stock market to ideas and propose more new products to attract more clients, expand sales network, revenue ...

Talent Engagement:

- Recruiting remisiers and brokers in the area.

- Suggesting the reasonable salary policy/sales target policy to keep and encourage remisiers, brokers.

- Create the good working environment for local employees like corporation culture.


4)  Qualifications & Competencies


  • Bachelor/Master degree in finance, securities, banking or equivalent.
  • Brokerage/Financial analysis certificate by State Securities Commission of Vietnam (SSC).
  • Over 5 years in stock broking industry, at least 2 years managerial experience, managing remisiers / brokers and credit needs. In depth understanding on retail credit risk management, stock broking operations and compliance.
  • Excellent knowledge of stock market, corporate finance and the related policy
  • Consciously comply the standards of professional ethics at the highest level.


1.     General management skill: planning, building the business plan, organized, managing business and good communication skills.

2.     Leadership virtue, skills in recruitment, training and developing staff, presentation skill and communicate information well.

3.     Activeness, creativeness, excellent communication, negotiation, persuasion and relationship management skills.

4.     Risk management in stock industry, good knowledge about stock trading system and financial product.

5.     Work in high pressure environment.

6.     Teamwork/Independent working ability.

7.     Excellent customer service skill.

8.     The ability to analyse and solve problems and recommend solutions.

9.     Very strong knowledge of equities and the related financial products.

10. Some knowledge of financial analyst research is an advantage.

5) Working Relationship

1.     Maintain market share in a difficult, highly competitive environment and MBKE’s unattractive financial products.

2.     Fulfil the clients’ expectation to meet the taste of Vietnam stock market.

3.     Develop and keep good brokers (Salary policy, sales target policy, ...).

4. Trading system does not support  brokers in managing the client's account (manually)





6) Working Relationship

Internal: All departments in MBKE.


  • Clients: Retails and Corporates.
  • Brokers from other securities companies.
  • Other securities companies.
  • Listed companies.
  • Fund management companies.
  • Appropriate authorities: SSC, VSD, HSX, HNX.
  • Banks: Eximbank and the relevant banks.
  • Local business associations/unions.

7)  Decision Making Authority

1.     Plan and organize seminars, internal training, events Branch /Sales unit or support head office.


2.     Ensure  Branch/Sales unit  in compliance with the MBKE’s processes/ regulations



 1) Job Purpose


  • To manage and motivate the team retail sales in trading business: sales managers, brokers and remisiers.
  • To expand new sources of team retail revenue, team member and client base.
  • To ensure compliance of trading rules, regulations and guidelines.    

2) Principle Accountabilities

Retail market share and business growth

  • To ensure the retail market share of the department at the period of time as MBKE requirement.
  • To increase the outstanding loans.
  • To ensure the number of new clients and activate them.
  • To do the online business engagement.
  • To develop & retain VIP Clients
  • To hold and join Retail Sales road shows. 

Recruitments of new sales team and improvements of sales channels:

  • To recruit new sales members for the team.
  • To train and lead them to reach MBKE target for sales.
  • To manage and support team members for developing their business.

Service quality and trading experience:

  • To ensure the MBKE services and products for all clients in good channels through sales team.
  • To discuss with Branch Director about Sales and marketing strategies.
  • To do the competitor surveys.
  • To collaborate with Research to hold seminars on technical and fundamental analysis for sales and clients

Compliance of trading rules: 

  • To comply the regulations of MBKE Risk management, internal control...
  • To follow the trading rules of HSX, HNX and SSC.
          3) Scorecard Dimensions 


 Scorecard Dimensions (indicate data relevant to your job)

Financial Perspective:

1.     Daily retail brokerage.

2.     Fee incomes from retail.

3.     Monthly volume and profit.

Customer Perspective:

1.     Customer engagement

2.     Support and services

3.     Communications


Business Process and Initiatives:

1.     Controls on trading value

2.     Credit and Risk

3.     Trading system - uptime

4.     Trading products

5.     Rewards systems

6.     Client management systems



Talent Engagement:

1.     Regional trading

2.     Wealth Management

3.     Client Relationship Management

4.     Training program

5.     Marketing

6.     Recruitment.

3) Qualifications & Competencies 


  • Level of Education:
  • A degree in business finance, or equivalent.
  • Degrees of Vietnamese State Securities Commission (basic, law, analysis, brokerage).

Years of experience:

Over 6 years in Vietnamese stock market, also in brokerage system as brokerage manager or team leader. To understand any risk from brokerage activities.

Other skills:

  • Online share trading systems, back office systems, Client Management systems...
  • Marketing - Strategies, distribution channels, rewards systems, customer experience.
  • Product Development.
  • Presentation and Training.


  • Trading requirements
  • Risks management
  • Market intelligence
  • Communications
  • Team management

5)  Major Challenges (Describe the most challenging or complex part of your work)

  • Growing the number of brokers and sales.
  • Retail products.
  • Revenue and incomes.
  • Competitions.
  • Regional trading, international trading

5) Working Relationship


  • Credit/ Operations
  • Risk Management
  • Research
  • IT
  • Audit
  • Institutional Sales
  • Other Brokerage Department


  • Eximbank
  • Securities Commission
  • Depository.

associate, risk managerment

1)  Job Purpose

To plan and drive the strategic directions to develop, improve and implement risk frameworks, policies, procedures, guidelines, methodologies in MSVN. 

Monitoring and reporting all major risk categories (Market Risk, Credit Risk, Nonfinancial Risk) in alignment with the business objectives of Maybank Investment Bank Group’s aspirations.

2) Principle Accountabilities

Describe the key activities that you are expected to achieve. Start with the most important

Outcomes/ deliverables targeted



Supporting Activities

Outcome/ deliverables

Adoption of MIBG’s risk frameworks, policies, procedures, guidelines, methodologies. 


To prepare papers for adoption of new risk frameworks, policies, procedures, guidelines and methodologies: 

- To drive the development or to comment in the review and development of all appropriate group frameworks, policies, guidelines / procedures, and methodologies to ensure alignment with local regulatory requirements, local business strategies and suit local operating environment. 

- To get comments/feedbacks from related parties. 

- To prepare required papers for adoption: customisations table, memo for endorsement, approval.


Risk frameworks, policies, guidelines / procedures and methodologies are approved within the timeline. 

Implementation of MIBG’s risk frameworks, policies, procedures, guidelines, methodologies.

- To implement the risk frameworks, policies, guidelines / procedures and methodologies to identify, measure, control and report on all risk categories across the MSVN.

- To maintain market intelligence on recent developments, business intelligence and work with Regional Risk to incorporate the best industry practices (where appropriate) to the frameworks / policies / guidelines.

- To customize and submit RAS, KRIs for approval annually. 

All requirements in frameworks, policies, procedures, guidelines are implemented.

Risk controls and monitoring

- To communicate the risk appetite requirements of the local Board and management to the business sectors and ensure risk appetite statements are implemented in the businesses.

- To collaborate with regional risk management to incorporate risk limits/tolerances required for MSVN operations to manage exposures for new business initiatives within approved risk parameters as well as annual risk limits review.

- To ensure the Risk Appetite is monitored and tracked on a periodic basis and any breaches or changes to the tolerances/thresholds are addressed with reporting to management and action plans

RAS are well communicated with related parties. 


Manage the Margin Financing business 

To review and get approval of Marginable list quarterly or in ad-hoc cases based on request from Retail.  

To review and recommend Credit and Trading limits for customers, group of customers and counters for approval.

To monitoring and control the total margin exposure, margin exposure of top clients within the approved limits.

To keep bad debts within approved risk appetite. 

To work with Legal, FA, Compliance to recover the overdue loans. 

Bad debts are maintained within risk tolerance. 

All operations run smoothly. 




To contribute to the regional stress testing results of the various business lines and conduct top-down and ad-hoc stress tests.


Report to management and Board

 To continuously work to improve the reporting and monitoring process flow to ensure that risk information is transparent and useful to end users (Regulator, Management, EXCO and Board).

To ensure all regulatory and required reports (including stress test reports) are provided within timeline.


Reports are provided on time.


3) Scorecard Dimensions (indicate data relevant to your job)

Financial Perspective:

The operating expenses are managed within the annual approved budget

Customer Perspective:

Effectiveness of CRO as rated by Head of Risk Management, based on quality and timeliness

RMC Satisfaction Index (Score).

Business Process and Initiatives:

Review and assess the quality of collateral shares for margin and non-margin financing quarterly.

Implement and enhance country reporting to regional risk.

Talent Engagement:

Development for personal and staffs

4)  Qualifications & Competencies 


Lead risk disciplines: Credit Risk, Market Risk, Nonfinancial Risk (Operational Risk, Business Continuity Risk, Outsourcing Risk …) with at least 5 years of experience.

University degree.

Expert knowledge of Equities products. 

Knowledge of implementation of risk systems


Discipline and honesty.

Communication skill.

Logical thinking skill.

Team work. 

Data processing.

Excel and other software skill.

5)  Major Challenges (Describe the most challenging or complex part of your work)

Face up with the pressure, reaction from business units

Risk management will be more of an art than a science, so it needs a huge knowledge and the cleverness when handle any issue.

Daily update the change in market, policy, procedure and business plan to update the risk management policy or framework accordingly on time.

6)  Working Relationships 


All Departments


State Securities Commission, law firm.










Giấy phép thiết lập trang thông tin điện tử trên internet số 93/GP-TTĐT do Sở Thông tin và Truyền thông TP. Hồ Chí Minh cấp ngày 12/8/2015