Quynh Le Thi
Ha Noi,Viet Nam
Overview
16
16
years of professional experience
Work History
Senior Compliance Officer
LOTTE FINANCE
Ha Noi
06.2022 - Current
- Acted as key compliance contact and officer for regulatory matters, answering queries promptly and politely.
- Monitored company compliance with regulations and internal policies to verify that relevant standards and requirements were met.
- Developed and implemented compliance policies and procedures to align with regulatory requirements.
- Conducted regular internal audits to identify compliance risks and formulated mitigation strategies.
- Investigated compliance breaches, prepared reports on findings, and suggested corrective actions.
- Coordinated with external auditors during compliance reviews and addressed any findings.
- Reviewed company compliance programme to identify potential gaps and opportunities for improvement.
- Inspected work environments to verify reported health and safety issues.
Compliance Officer
Mcredit
Ha Noi
09.2020 - 06.2022
- Investigated and reported on suspected breaches of compliance laws, regulations and standards.
- Reviewed and updated compliance manuals, ensuring they reflect current laws and industry standards.
- Investigated compliance breaches, prepared reports on findings, and suggested corrective actions.
- Monitored company compliance with regulations and internal policies to verify that relevant standards and requirements were met.
Credit Appraisal and Approval officer
VPbank
Ha Noi
01.2015 - 09.2020
- Analysed financial documents to rate client stability and risk exposure carefully.
- Review the completeness and validity of loan application documents.
- Verify customer information, loan purpose, and sources of repayment.
- Assessed financial indicators to support consistent risk decisions for clients.
- Determined approval or disapproval based on accepted risk profiles.
Retail Banking Specialist
TCB
Ha Noi
07.2010 - 01.2015
- Advised customers on best available loan products and credit options.
- Managed flow of applicants through approval process, completing continuous reviews and corrects to minimise delays.
- Review the completeness and validity of loan application documents.
- Verify customer information, loan purpose, and sources of repayment.
Education
Banking
Banking Academy
Hanoi, HN01-2009
Skills
- Risk assessment
- Regulatory compliance
- Internal auditing
- Compliance reporting
- Data analysis
- Team collaboration
- Problem solving
Timeline
Senior Compliance Officer
LOTTE FINANCE
06.2022 - Current
Compliance Officer
Mcredit
09.2020 - 06.2022
Credit Appraisal and Approval officer
VPbank
01.2015 - 09.2020
Retail Banking Specialist
TCB
07.2010 - 01.2015
Banking
Banking Academy