Luong Toàn Ngô

- Providing support to the Group Head of Compliance on all contractual matters and legal issues of the company - Contact person for business management, AML matter of the group, regulators and external/internal auditors - Keeping abreast of changes in compliance regulations and laws and appropriately affecting the updating of existing group’s policies and procedures

- Providing advice to Private Banking Divisions in the areas of Trade & Investment Compliance - Participate in the market surveillance and trading floor of the bank - Participate in different projects, such as: Gap analysis in division of funds, asset management and structured products

- Pro-active analysis and implemente new compliance and regulatory changes, especially with regard to Asset Management - Interface between Global Compliance Departments regarding marketing and product presentations - Interface between Private Bank's Compliance and AIG Fund Administration (Switzerland)

- Set-up of review processes: portfolio compliance process, esp. programming regulation of compliance review (new release: MIG21) - Monitoring products in line with Investment Funds Regulation (AFG), Regulations on Job Precaution (Gesetz zur beruflichen Vorsorge, BVG) and Asset Management Guidelines (SBVg) - Collaboration in drawing up contracts: compliance, verification of offers / asset management agreement

- Support in fund execution - Contact point for internal and external operational queries and clarifications (counterparties, relationship managers) - Management of open issues and conducting the necessary clarifications

- Deputy and support to the unit head and the team - Mentor of the new employees - Clarification of internal and external issues and complaints - Interface function to counterparties and end clients