Added 1215 days ago
Compliance Manager
LocationBangkok
Job typePermanent
Salary75,000-150,000 ฿
Job Responsibilities
- Providing the professional advice on related business rules and standards for the executives to review work flow/ systems to assess operational risks in order to align with the legal regulations
- Contact, coordinate and prepare reports for the external agencies/ units i.e. the SEC Office, AMLO Office, and etc.
- Review, audit and supervise the operations of the internal departments of the companies to be in accordance with the regulations related to investment/ financial services
- Consult and provide the essential trainings to the relevant teams in order to perform tasks in accordance with the regulations
- Follow up, study and summarize the essence of various regulations such as the announcement from the SEC, the Stock Exchange Bank of Thailand AMLO and Association of Investment Management Companies Private fund Fund trading as well as handle knowledge-sharing to relevant teams within the organization
- Apply for the approval, opinion, renew the licenses for the Directors of the companies, in-charge-employee who must be licensed or approved to perform their work legally
- Operate to receive-send information and report information to various departments as required by law
- Manage a supervisory and operational team and coordinate with the companies' internal audit department
- Other jobs as assigned
Experience requirements
- Over 8 years experience in Compliance Department
- Experience in Asset Management Company, Securities Companies or Banking preferable
- Detail-oriented, and good coordination and problem solving skills
- Good communication and presentation skills
- Experience in supervising team in private fund businesses /or/ securities/ brokerage business will be an advantage
Education requirements
- Bachelor's degree or Master's Law, Accounting, Business Administration, Finance, Economics or related field