Conduct risk-based internal audits across business units and support functions.
Evaluate the adequacy and effectiveness of internal controls, risk management, and governance processes.
Perform audits covering securities trading, brokerage operations, regulatory compliance, and related business processes.
Identify control weaknesses and provide practical recommendations for process improvement.
Prepare audit reports and present key findings to management and relevant committees.
Follow up on audit findings and monitor the implementation of corrective actions.
Support the development and execution of the annual audit plan.
Keep up to date with relevant regulations, SEC requirements, and industry best practices.
Provide coaching and guidance to team members and contribute to building a strong internal audit team.
Qualifications:
Bachelor's degree or higher in Accounting, Finance, Business Administration, Economics, or a related field.
7–10 years of relevant experience in Internal Audit, Risk Management, Compliance, or a related control function, preferably within a securities company, financial institution, or other regulated financial services organization.
Strong knowledge of internal audit principles, risk-based auditing, internal controls, and corporate governance.
Good understanding of securities business operations and applicable regulatory requirements.
Professional certification such as CIA, CPA, CISA, or equivalent is highly preferred.
Experience in leading audit assignments and managing or supervising audit team members.
Strong analytical, problem-solving, report-writing, and presentation skills.
High integrity, professionalism, and attention to detail.
INTERNAL AUDIT OFFICER
Responsibilities:
Planning and execution of internal audit engagements in line with the audit strategy and standards set.
Evaluate the adequacy and effectiveness of internal control systems and operational processes.
Prepare audit reports, highlight key findings, and provide practical recommendations to management and relevant business units.
Coordinate internal audit activities with other departments and maintain effective communication with external regulators (e.g., SET, SEC).
Support management in enhancing governance, risk management, compliance framework and other assigned.
COMPLIANCE OFFICER
Responsibilities:
Monitor and ensure compliance with securities laws, regulations, and guidelines issued by relevant authorities (e.g., SEC, SET, or other applicable regulators).
Review and assess new regulations or changes to existing rules and advise management on their impact.
Develop, update, and implement compliance policies, procedures, and controls.
Conduct regular compliance risk assessments and internal audits related to securities activities.
Provide compliance training to employees, particularly those involved in securities trading, investment advisory, and related functions.
Review and approve marketing materials, disclosures, and product documentation to ensure regulatory compliance.
Investigate and report compliance breaches, potential violations, or suspicious transactions in accordance with regulatory requirements.
Liaise with regulators during inspections, audits, and inquiries.
Maintain accurate compliance records and prepare required regulatory filings and reports.
