Overview

• Salary

  150,000 THB ~ 250,000 THB

• Industry

  Finance(Other)

• Job Description

  • Responsible for all regulatory and compliance matters, including reporting to and communication with both the relevant local authorities such as The Securities and Exchange Commission, Thailand (SEC) and parent company.
  • Assisting with regulatory and compliance matters relating to the start of business in Thailand, including company establishment
  • Responsible to design / update and conduct risk based local compliance monitoring program and proactively identify current regulatory gaps and/or local compliance weaknesses and propose rectification measures.
  • Monitor local regulatory developments, provide assessment(s) of the implications and implementation of new or amended regulations and local compliance policies in order to address, manage and mitigate such changes, in a practical and effective manner.
  • Be the subject matter expert in Thai private banking business and compliance matters and AML/CFT matters.
  • Provide support/advisory in Thai private banking transactional due diligence and local compliance related matters.
  • Provide guidance and support to private banking business unit (s) both locally and in the region, on compliance policies and procedures, including but not limited to, compliance monitoring activities and initiatives.
  • Perform assigned reviews based on compliance workplan e.g. post trade monitoring, e-communication surveillance, gifts and entertainment, personal account trading etc.
  • Conduct induction training for new hires, where required.
  • Participate in ad hoc assignments and projects as required.