Senior Compliance Officer

PI Securities Public Co., Ltd. (Bangkok, Bangkok City, Thailand)

Bangkok, Thailand

Pi Securities is the company behind the Pi Financial personal trading and investments App in Thailand.   Our vision is to empower retail traders and investors to achieve more in the financial markets. We are registered as broker member number 3 with the SET and are regulated by the SEC of Thailand. Under the Pi brand and our predecessor brands, we have a 40+ year track record of servicing the most active traders in our market, across equities, derivatives, and more.

About this position

The Senior Compliance Officer is responsible for ensuring that the company operates and complies with regulatory and ethical standards. This position involves managing the company's adherence to internal policies and external regulations, including those issued by the Securities and Exchange Commission (SEC), Stock Exchange of Thailand (SET), Anti-Money Laundering Office (AMLO), and other relevant regulatory bodies.

Responsibilities

• Monitor trading transactions and report any abnormal case to the Head of Department and related regulators.
• Updating and monitoring changes in relevant regulations (SET/SEC/AMLO and others).
• Performing compliance audits in accordance with the relevant methodology, identifying compliance weaknesses and risks as well as making recommendations for mitigating such risks and reporting their findings to the Head of Department and follow up timely implementation of mitigating actions.
• Conducting compliance training to employees on new statutory and regulatory compliance requirement.
• Coordinating with the related regulators (especially SET/SEC).
• Perform other compliance and legal duties as assigned.

Requirements

• Bachelor’s degree or higher in Law, Business Law or a related field is required.
• Approximately at least 3 years’ working experience in compliance / internal audit, especially in the securities industry will be favorable.
• Having a knowledge of SEC and SET regulations is favorable.
• Being a consultant with a strong judgement and the ability to manage conflicts as well as retaining the relationships.
• Good relationship skills and a good attitude towards work and coworkers.