Compliance Manager

Job Description:

• Ensure compliance with all applicable securities laws and regulations, including those issued by the Securities and Exchange Commission (SEC) , the Stock Exchange of Thailand (SET) , the Anti-Money Laundering Office (AMLO) and other involved regulators.
• Develop and implement new policies and procedures to ensure compliance with new regulations or changes in the business environment, aligned with related rules and regulations.
• Conduct regular audits programs to ensure business activities adhere to good practice and fully comply with laws, regulatory requirements, policies, and procedures.
• Stay updated with regulatory changes and timely communicate to the related business unit.
• Provide accurate consultancy to senior management business units on regulatory compliance to identify and escalate potential compliance risks.
• Collaborate with internal and external stakeholders, such as auditors and regulators, to facilitate the audit process and address identified issues

Qualification

• Bachelor's degree in Law, Business Administration, Finance, Accounting, or related field
• 5+ years of experience in Compliance, Regulatory Affairs, Internal Audit, Risk Management, or related functions within the securities, brokerage, financial services, or capital markets industr
• Strong knowledge of securities laws and regulations, including requirements issued by the Securities and Exchange Commission (SEC), Stock Exchange of Thailand (SET), Anti-Money Laundering Office (AMLO), and other relevant regulatory authoritie
• Experience in developing and implementing compliance policies, procedures, and control frameworks in line with regulatory requirements and business objective
• Proven experience in conducting compliance reviews, audits, investigations, and regulatory gap assessment
• Ability to interpret regulatory changes, assess business impact, and provide practical compliance advice to management and business unit
• Experience in liaising with regulators, auditors, and other external stakeholder
• Strong analytical, problem-solving, investigation, and risk assessment skill
• Excellent communication, consulting, and stakeholder management skill
• Ability to work independently, manage multiple priorities, and thrive in a dynamic environmen
• Professional certifications in Compliance, AML, Risk Management, or related fields are an advantage.

Preferred Background

• Securities Companies / Brokerage Firm
• Asset Management Companie
• Investment Bankin
• Regulatory Bodies (SEC, SET
• Audit and Advisory Firms (Big 4)