Mekong Capital
Compliance Manager
About the job Compliance Manager:
We are looking for a Compliance Manager to take ownership of Mekong Capital’s legal, compliance, and governance framework across the firm, our Funds, and investee companies.
You will also oversee Corporate Administration matters and play a key role in strengthening Mekong’s risk and compliance systems.
I. Key accountabilities:
1. For Mekong Capital
- Manage company-wide compliance: Code of Ethics (orientation, annual filing, violations tracking & reporting).
- Control Conflict of Interest process: declaration, review, investigation, and action recommendations.
- Draft, maintain, and train on compliance policies, procedures, and data privacy. Oversee regulatory filings and ensure compliance with Vietnam and Cayman regulations.
- Monitor legal/regulatory updates and ensure business alignment.
- Oversee Corporate Administrator to ensure timely, accurate statutory and regulatory filings.
- Build and maintain risk management systems, risk register, and compliance calendar.
- Conduct annual compliance testing, COI review, and regulatory health checks
2. For Investee Companies
- Drive compliance reporting: Quarterly Trigger Event Reports and Compliance Dashboard.
- Hold Deal Teams and Chairpersons accountable for governance and compliance outcomes.
- Ensure corporate governance compliance: Board meetings, AGM, documentation, statutory requirements.
- Monitor Vision Holder Agreement commitments and handle non-compliance cases.
- Review Reserved Shareholder Matters (COI, related party transactions) with proper approvals.
- Ensure compliance with SHA/VHA milestones (including public registration/listing obligations).
- Coordinate cybersecurity checks and ensure completion conditions for investments/divestments.
3. For Funds
- Monitor fund-level compliance via quarterly reporting and regulatory filings.
- Coordinate ESG & Impact compliance (e.g., SFDR).
- Track regulatory changes across fund jurisdictions and ensure compliance.
- Maintain oversight of fund risk, obligations, and reporting standards.
II. Key Requirements:
- Minimum 5–7 years of experience in Legal, Compliance, Risk, or Governance, including at least 2–3 years in a Manager or Head role.
- Strong track record handling compliance or governance issues end-to-end, including identifying breaches/COI, providing practical recommendations, and driving escalation and resolution.
- Experience owning cross-functional compliance processes (e.g., Code of Ethics, COI declaration, policy rollout, compliance reporting) across multiple stakeholders (HR, Legal, Business, Deal Teams).
- Experience in building or maintaining compliance systems and governance structures (e.g., compliance tracker, calendar, board/AGM processes).
- Exposure to international or multi-jurisdiction environments, with ability to work effectively with international legal firms and advisors.
- Fluent English (written & verbal), able to communicate clearly in complex legal and compliance contexts.
- Demonstrates strong ownership, integrity, and judgment; willing to challenge, hold stakeholders accountable, and follow through on issues to resolution.