Director of Compliance

The Director of Compliance is a senior leadership role responsible for the operational execution of the Compliance Framework within the casino, ensuring strict adherence to:

• Vietnam gaming regulations (including Decree 03/2017)
• AML/CFT requirements under Vietnam Law and State Bank of Vietnam
• International best practices (FATF standards)
• Social Responsible Gaming (SRG) obligations

The role is critical in minimizing regulatory, financial, and reputational risks, while ensuring a safe, transparent, and responsible gaming environment.

Core Responsibilities

A. Regulatory Oversight & Licensing Compliance

• Act as key liaison with: Ministry of Finance (casino regulator), State Bank of Vietnam (AML reporting authority), Other competent authorities

• Ensure: All gaming activities comply with approved licenses. Gaming floor layouts, systems, and operations meet regulatory requirements

• Maintain licensing conditions tracker and ensure zero breaches

B. AML / CFT & Financial Crime Management

• Oversee implementation of AML/CFT program in line with: Vietnam AML Law, FATF standards

• Supervise: Customer Due Diligence (CDD / EDD), High-risk and VIP player monitoring, Transaction monitoring (cash, chips, transfers)

• Ensure: Timely and accurate submission of STR/CTR (or local equivalent), Proper handling of suspicious activities

• Monitor casino-specific risks: ITO / promoter activities, Chip walking, structured transactions, Source of funds verification

C. Social Responsible Gaming (SRG) & Player Protection

• Implement and manage the casino’s Responsible Gaming Program, including: Self-exclusion and third-party exclusion systems, Player identification and monitoring for problem gambling behavior

• Ensure: Effective controls to prevent excluded players from accessing gaming services, Early detection of high-risk player behavior (e.g. excessive play, distress signals)

• Establish intervention protocols: Responsible engagement by staff, Escalation of high-risk cases

• Review and control: Marketing and promotions to ensure responsible advertising

• Maintain strong alignment between: Compliance objectives, Ethical gaming and player protection standards

D. Internal Control Regulations (ICR), Internal Control Systems (ICS), SOPs, Auditing & Compliance Assurance

• Develop, maintain, and enhance Internal Control Regulations (ICR), Internal Control Systems (ICS) and SOPs in line with: Regulatory submissions, Approved Internal Control Regulations (ICR), Internal Control Systems (ICS) and SOPs where applicable

• Conduct regular compliance monitoring across: Gaming floor operations, Cage and cash handling, VIP/junket operations

• Ensure deficiencies are: Identified, Reported, Remediated promptly

E. Risk Identification & Mitigation

• Identify and assess compliance risks across: Gaming operations, Financial transactions, IT systems

• Implement risk mitigation plans and enforce corrective actions

• Maintain risk registers and track remediation status

F. Incident Management & Regulatory Reporting

• Investigate: AML alerts, Responsible gaming incidents, Internal breaches

• Ensure: Proper documentation and audit trails, Timely escalation to VP Compliance

• Prepare reports for: ICC, Regulators (as required)

G. Training & Awareness (AML + SRG)

• Develop and deliver training programs on: AML / financial crime, Responsible Gaming / Safer Gambling

• Ensure: 100% training completion across relevant staff, Frontline staff are capable of detecting risks

H. Stakeholder & Operational Coordination

• Work closely with: Casino Operations (tables, slots, VIP), Surveillance & Security, Finance and Cage, IT systems (monitoring tools)

• Ensure compliance is embedded into business processes

Education

• Bachelor’s Degree in Law, Finance, Accounting, Business Administration or related fields

• Master’s Degree is an advantage

Experience

• 8–12+ years in: Casino compliance, AML compliance, and/or regulatory roles. Minimum 5+ years at management level

• Strong experience in: Gaming operations, AML monitoring and reporting, Regulatory inspections, Internal Control assurance, Training

Domain Expertise

• Strong knowledge of: Vietnam gaming regulations (Decree 03), AML/CFT requirements (SBV, FATF), Casino operational risks, Audit and Compliance