Responsibilities

• Lead, coordinate, and manage ad-hoc compliance related projects and tasks.
• Conduct investigations on compliance matters and regularly report on such matters to various management committees.
• Manage, train, and develop members of compliance team.
• Compliance testing, monitoring & data analytics.
• Coordinate multi-functional projects/initiatives with third parties by providing policies, procedures, process diagrams, etc.
• Ensure that the system is adequately publicized and that allegations of non-compliance are investigated and responded to promptly.
• Enforce the standards and fully investigate possible violations.
• Develop and implement policies addressing all aspects of compliance for the organization.
• Maintain compliance with Bank of Thailand licenses, Thai Securities and Exchange Commission licenses, and audit license renewals.
• Participate in business, risk, and strategic initiatives, providing relevant compliance advice.
• Coordinate and work closely with business units and relevant regulators to make sure that the company fully complies with relevant rules and regulations.
• Develop and maintain Regulatory Compliance program.
• Manage and consider resolution of compliance issues (compliance incidents/customer complaints) in Business.
• Conduct monitoring and regulatory compliance review to ensure consistent and strict compliance across the organization.
• Preparing a document and report to the committee.
  
  

Qualification

• Bachelor or higher in Law or related fields.
• At least 3-5 years of experience in compliance in financial service/asset management companies will be an advantaged.
• Have practical understanding of and hands-on experience on financial service laws and regulations in relation to Bank of Thailand (BOT), Anti-Money Laundering Office (AMLO), Debt collection Act.
• Ability to multi-task, prioritize, maintain flexibility in fast-paced environment, and meet or exceed deadlines.
• Excellent analytic skills, strong communication, and presentation skill will be advantage.
• Ability to work independently and collaboratively with the team.
• Experience in digital asset management companies is preferred.