Compliance Officer (Financial Services)

Job Duties:

• Keep abreast with regulatory changes and provide compliance advisory to senior management and business
• Create, maintain and ensure that all operational procedures comply with applicable regulations
• Conduct monitoring on licensing conditions and regulatory requirements
• Provide information and updates to Senior Management and the Board, and apprise them on money laundering, terrorist financing and other identified risks and related action plans.
• Act as point of contact with regulators (e.g. BOT, etc) directly on queries and regulatory submissions
• Provide compliance advisory and support on client due diligence for client on-boarding and KYC periodic reviews and AML/CFT matters
• Identify, provide assessment and maintain documentation on compliance issue e.g. conflict of interest, complaints, etc, as well escalate issues to senior management/ Board in line with policy
• Maintain registers in line with regulatory requirements
• Conduct training and updates on compliance topics and regulatory requirements Preparation of data review and submissions to BOT
• Any other projects/ duties as may be assigned

Requirements:

• Minimum 3-5 years of experience in compliance in a financial institution in Bangkok or in Asia.
• A Bachelor's Degree in any discipline. Degree in accountancy, finance, business administration or law is a plus
• Familiar with BOT regulations and compliance procedures and other region like MAS and ASIC
• Demonstrated successful track record in working with internal stakeholders (e.g. marketing, capital markets, legal, technology, finance and HR) and external partners
• Excellent communication, interpersonal and influencing skills
• Be a self-starter, a highly motivated person able to work in a fast paced entrepreneurial environment that is continually changing
• High level of integrity and discretion, handling confidential information