Compliance and Legal Manager
Detail posisi
Kewajiban
• Stay informed of and ensure compliance with evolving regulatory developments in the financial sector, particularly those issued by the BOT, SEC, and other relevant regulators.
• Serve as a key advisor to the business on matters of regulatory and corporate compliance, ensuring that all group operations adhere to applicable laws and regulations.
• Lead the ongoing identification and assessment of potential compliance risks, developing and implementing effective mitigation strategies.
• Collaborate with all business functions to promptly address and resolve compliance issues within agreed timelines.
• Act as the primary point of contact for interactions with regulatory authorities, including SEC, AMLO, and BOT.
• Provide legal counsel on a broad range of issues, including commercial contracts, regulatory compliance, and litigation.
• Review and negotiate business-related contracts.
Kualifikasi
• Bachelor’s degree or higher in Law, Compliance, or any related fields.
• Minimum of 7 years of experience in compliance and/or internal audit roles within the financial services industry.
• Experienced in Assets Management (AMC) business would be beneficial.
• Strong understanding of financial regulations and direct experience with regulatory bodies, especially the Bank of Thailand (BOT) and the Securities and Exchange Commission (SEC).