Compliance Manager

Responsibilities:

· Monitor and interpret regulations from the SEC, SET, AMLO and PDPC, and advise management on their impact.

· Develop and maintain compliance, AML/CFT and PDPA policies and controls.

· Conduct compliance monitoring, trading surveillance and employee trading checks.

· Oversee KYC/CDD, sanctions screening and STR reporting to AMLO.

· Manage PDPA tasks: DPIA, RoPA, data breach response and data subject requests.

· Review marketing materials, product documents and onboarding processes.

· Investigate compliance breaches and complaints, and prepare regulatory reports.

· Act as regulator liaison during inspections and inquiries.

· Deliver compliance, AML and PDPA training.

Qualifications:

· Bachelor's degree or higher in Business Administration, Accounting, Law, Finance, Economics or a related field.

· At least 3 years of compliance experience in securities or financial institutions.

· Solid knowledge of the SEC/SET, AML/CFT and PDPA frameworks.

· Data analytics skills: Excel (Power Query/Pivot) is required; SQL, Python or Power BI is a plus.

· Experience using AI tools (e.g., ChatGPT, Claude, Copilot) for regulatory research, monitoring or automation.

· SEC-approved compliance officer status is a plus.

· Good command of Thai and English.

· No history of criminal offenses.