AVP, Regulatory Compliance

Key Responsibilities

• Providing baseline advice to BU/SUs under the Retail Segment on the interpretation and enforcement of applicable regulatory requirements, particularly in BOT's Market Conduct and PDPA.
• Carrying out tasks related to Market Conduct matters such as reviewing Market Conduct Policy, conducting E-learning refreshers, and facilitating the Market Conduct Committee, etc.
• Performing PDPA compliance review activities and serving as the centralized contact point for BU/SUs under the Retail Segment regarding PDPA matters.
• Reviewing marketing campaign materials, including sales scripts and training materials, for the Retail Segment.
• Supporting the retail product team in reviewing the Product Approval Report (PAR) for new product launches.
• Developing and maintaining guidelines related to the responsible areas for the Retail Segment.
• Performing other duties/ad hoc projects related to Regulatory Compliance as assigned.

Qualifications

• Master’s degree in Business Administration, Finance, Economics, Statistics or related fields; or an equivalent combination of education and experience in regulatory compliance/internal audit.
• Minimum 3 years of work experience in Compliance, Audit, Project Management, or related fields in a financial institution, preferably in the retail segment.
• Sound understanding of financial regulatory requirements and banking products and processes.
• Strong communication and interpersonal skills and willing to facilitate, collaborate and build effective working relationships with stakeholders from various functions.
• Excellent critical and analytical skills – the ability to correctly interpret underlying information/data, assess and summarise its impact on risk and regulatory compliance.
• Excellent organizational skills with the ability to manage several assignments and establish priorities.
• Proven problem-solving skills, self-starter attitude, as well as teamwork.
• Detail-focused, result-oriented, self-motivated, flexible, enthusiastic, with a good attitude.
• Good knowledge and skills of the Microsoft Office suite.
• Good command of English; communication and writing skills.