Legal and Regulatory Monitoring - Capital Market

Role and Responsibilities / หน้าที่ความรับผิดชอบ

• Assess and review in accordance with Compliance Monitoring Program for exceptions and weaknesses in departmental compliance and operational process to ensure the bank’s compliance with legal, regulations, and rules. 
• Identified areas of compliance vulnerability and risk; develop/ recommend corrective action plans for resolution of problematic issues and provide general guidance on how to avoid or deal with similar situations in the future and recommend enhancements to mitigate compliance risk and ensure the Bank’s compliance with applicable legal and regulations for Banking/Financial services and products to provide high value service to business partner. 
• Ensure that compliance Issues/concerns are being appropriately evaluated, investigated and resolved.
• Prepare and present written reports on results in a clear, concise, grammatically correct, and convincing manner for management. Maintain sufficient work papers to support compliance monitoring findings and observations.  
• Meet with department managers to discuss and provide recommendations for corrective action for compliance monitoring findings.    
• Conduct follow-up review of corrective action taken to address compliance exceptions reported.  
• Assist in the preparation for coordinate and assist in the response to Bank of Thailand examinations as required.

Qualifications / คุณสมบัติ

• Bachelors or Master’s degree in Finance, Accounting, Economics, Business Administration or related fields.
• Minimum of 3 years’ experience in Compliance, External Audit, Internal Audit and Risk Management within Banking/Financial services and products
• Experience and knowledge in banking business including related regulatory and compliance will be an advantage. 
• Excellent planning, systematic and conceptual thinking, time management, programmatic problem solving, risk management negotiating, coordinating and initiating skills.
• Strong analytical and logical thinking with proven ability to quickly understand complex business and systems and provide a suited solution.
• Effectively interact all levels and also to manage multiple activities, simultaneously, and achieving excellent results
• Great interpersonal and communication skills. Reliable, open minded and ability to effectively collaborate with diverse people such as business users, developers, quality assurances, subject matter experts, and architects.
• Great attention to detail and hands on
• Ability to prioritize, manage time and work under pressure.
• Good in English speaking and writing
• Good in computer skills and standard computer programs