Compliance Manager

Job Description:

• Examine and oversee the company’s operations to identify, if any, compliance risks and propose solutions to the findings that the company may need to improve to comply with the governing regulations.

• Participate in business, risk, and strategic initiatives, providing relevant compliance advice.

• Conduct investigations into compliance matters and regularly report on such matters to various management committees.

• Coordinate multi-functional projects/initiatives with third parties by providing policies, procedures, process diagrams, etc.

• Develop and implement policies addressing all aspects of compliance for the organization.

• Maintain compliance with Thai Securities and Exchange Commission licenses, The Stock Exchange of Thailand membership.

• Monitor, create, and review company’s policies and procedures to comply with current governing SEC, SET, AMLO, ThaiBMA, BOT regulations.

• Contact and coordinate with the regulators i.e., SEC, SET, AMLO, ThaiBMA, BOT, etc.

• Communicate regulations, laws, and other relevant rules to the company’s employees and conduct training to enhance understanding and efficient application of such to the company’s daily work.

Qualification:

• Bachelor's or master's degree in law.

• Have at least 3-5 years of legal or compliance experience in securities, or financial services industry.

• Have experience in working and coordinating with the regulators i.e., SEC, SET, AMLO, ThaiBMA, BOT.

• Strong relationship management, influencing, and execution skills.

• Excellent knowledge of reporting procedures and record keeping.

• Knowledge and understanding of investment business is a privilege.

• Enthusiastic to learn, catch up, and grow with business in all aspects.

• Able to summarize and analyze regulations and communicate with others with simplicity.

• Have excellent written and verbal interpersonal skills, with an ability to communicate with a wide range of team members and job functions – all the way up to executives.