Sara Phuong


Vice President, Market and Liquidity Risk Management tại UOB

Chương trình mentoring của Sara Phuong

Giới thiệu bản thân

Passions in business transformation, risk management and compliance

Kinh nghiệm làm việc

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    Vice President, Market and Liquidity Risk Management


    Market surveillance:
    - Monitoring wash trade, off-market rate transaction, internal rate risk transfer, front running, FX global code check
    - Investigation of the breaches and escalation of genuine exceptions

    Product control and governance:
    - Control P/L by products and desks, investigate if any significant variance and comments for traders’ sign-off
    - Checking P/L exceptions, Day 1 large P/L by transaction
    - Monitoring stop loss limits, escalate the potential risks of limit breaks

    Valuation Reserves computing:
    - Calculating the valuation reserves for designated products (Fixed incomes, FX products and derivatives)

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    Compliance and Legal Manager

    Daegu Bank Ho Chi Minh City Branch

    - To support the process of establishing Daegu Bank HCMC Branch in variety of areas including compliance, legal, risk, accounting, operations, system development, recruitment, etc.
    - Establish the procedures, manual and internal regulations
    - Review the contracts and other legal documents
    - To support the Branch’s licensing process
    - Set up risk management of the Branch, prepare the risk policies
    - To advise daily business, new products and related process
    - Liaise with the law firm for legal issues
    - To contact and maintain sound relationships with SBV and other authorities

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    Compliance Manager

    Commonwealth Bank

    - Oversight of market risk, operational risk, regulatory compliance and liquidity for Vietnam banking operation ensuring compliance with Group and local regulatory reporting requirements
    - Manage resolution for market risk issues, including investigation and reporting of breaches
    - Review and recommend the updates or improvements for existing business policies and procedures
    - Provide consultative advice on various Bank areas
    - Develop and review the business models, policies, procedure and process
    - Identify business areas need to be changed or improved for compliance, design and implement an effective compliance framework
    - Do the stress test for Basel II application
    - Liase and maintain good relationships with internal and external partners (Group Risk and Compliance, Regulators, etc.)

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    Chief of Accounting Section


    - Supervise accounting activities and taxation
    - Manage regulatory reportings to regulators including SBV, NFSC, DIV, MOF, DPI, Tax
    - Laise and maintain good relationship with key regulators and partners
    - Develop in house tools including reconciliaton tool, prepare Business Requirement Document for SBV reporting system development

Quá trình học tập

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    University Of Economics Ho Chi Minh City

    Bachelor of Laws - LLB

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    The University of Salford

    Master of Laws - LLM, International Commercial Law

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    University of Liverpool

    Postgraduate Diploma with Merit, International Accounting and Finance

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    University of Canberra

    Master of Arts in TESOL, English

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    Foreign Trade University

    Bachelor's degree, Foreign Trade

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    Foreign Trade University

    Bachelor's degree, Foreign Trade

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    University of Humanities and Social Sciences

    Bachelor's degree, English

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