Assistant Compliance Manager
About this position
Responsibilities
• Have practical understanding of and hands-on experience on financial service laws and regulations in relation to Bank of Thailand, Security and Exchange Commission and AMLO
• Manage the SEC licensing and all SEC queries relating to the business
• Coordinate and work closely with business units and relevant regulators to make sure that the company fully with relevant rules and regulations
• Develop and maintain Regulatory Compliance Audit and Supervision programs
• Write and present the Compliance Supervision Reports to the Board and Audit Committee
• Assist Regulatory Compliance Working Group on company regulatory compliance strategies and to oversee regulatory compliance across company
• Conduct monitoring and Regulatory Compliance Review to ensure consistent compliance across company
• Assessing, monitoring and reporting of compliance risks regarding Regulatory Compliance
• Communicate and facilitate regulatory compliance risk assessment by other business units
• Facilitate business on regulatory impact assessment for new/drafting regulations and consultation papers which are circulated/ announced by the SEC/AMLO/BOT and any other regulatory changes related to business core process
• Coordinate with Legal to develop regulatory compliance procedure & facilitate Business Unit to embed regulatory compliance procedure in Business Unit process
• Act as the point of contact for all advisory and monitoring resources on compliance matters relating to the business and communications with investors and clients
• Perform and complete daily monitoring checklists on fund related issues
• Collaborate with Regulatory Compliance working group, Legal and Business Unit in maintaining as well as lively update the Regulatory Compliance policy & procedure
• Collaborate with Legal and Group Compliance to roll out regulatory compliance intranet (database)
Requirements
• Bachelor’s degree or higher in Law, Economics, Finance, or a related field
• At least 8 years of experience in prior Legal and Compliance or Audit in Financial Institutions
• Good command of verbal and written communication skills in Thai and English
• Good computer skills
• Strong analytical, interpersonal, and negotiation skills
• Attention to detail and interest in following the latest regulatory changes
• Experience in Digital Assets Market, Capital Market, and Financial Market will be advantageous
• Must have initiative and a good working attitude
• Given the nature of the mentioned position, where employees are involved with customer data and asset values, and/or the company, to comply with legal and regulatory standards established by the Securities and Exchange Commission, as well as to align with laws and overseeing agencies, the company requires a criminal background check as part of the post-interview process before joining the company. Your criminal history information will be retained for a period of 6 months from the start date.