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Head of Compliance

Permanent Position
27 Dec 2019
Expires on 26 Jan 2020

Company Description

International securities company

Posted by

Vicky T.

Tel

+66 8 2 6724555

Email

Job Description

  • Ensuring the compliance to the internal and regulatory standards and requirements

    • Actively monitoring the business and operations of securities business
    • Provide advice and guidance on compliance matters with relevant party including the New product.
    • Periodic review of the sensitive areas
    • Holding formal/informal meetings/discussions with supervisory
    • Closing gap about regulatory and internal issue.
    • Learning and study new regulation and summarize to relevant party to comply with
    • Review of manuals/ framework/guidelines

  • Review of manuals/ framework/guidelines

    • Assisting business units and support units in preparing the manuals, setting an appropriate time frame

  • Investigations of complaints/frauds

    • Monitoring and attending the complaints/frauds
    • Conducting Surprise Review independently to high compliance risk areas
    • Identify the weaknesses in relation to internal control and recommend for improvement
    • Submit report to Audit Committee
  • Responsible to review compliance tools ​​​​​​​

    • Analyzing all relevant information/issues
    • Identifying weakness in internal controls
    • Setting up of appropriate timeline completion of recommended framework
  • ​​​​​​​Propose the issue  and/or new regulation to ACB / Thai Exco / BOD

Requirements

Qualification

  • At least 15 years of compliance experience especially in securities, banking, insurance and related field
  • Fluent English communication
  • Team Management ability
  • Excellent interpersonal and communication skill to collaborate with internal and external stakeholders

                    

Good to have:-

  • Have obtained AMLO certificate
  • Have obtained Anti-Corruption certificate
  • Have obtained Head of Compliance certificate

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