About the Company - A well-established financial institution, part of one of Japan's leading financial groups with over a century of history, is seeking to expand its compliance and regulatory team. The organization has a strong global presence, combining expertise from key financial markets with deep local knowledge. Committed to delivering top-tier advisory services, the company values collaboration and innovation to drive meaningful impact in the financial industry.
* Need experience in dealing with the Securities and Exchange Commission, Thailand (SEC).
Responsibility
- Responsible for all regulatory and compliance matters, including reporting to and communication with both the relevant local authorities such as The Securities and Exchange Commission, Thailand (SEC) and parent company.
- Support regulatory and compliance tasks for starting business in Thailand, including setting up the company. (Note: Thai private banking operations will begin next year.)
- Create, update, and run a risk-based compliance monitoring program. Identify regulatory gaps or weaknesses and suggest solutions.
- Track local regulatory changes, assess their impact, and update policies to manage and address these changes effectively.
- Act as an expert on Thai private banking compliance and AML/CFT matters.
- Provide advice and support for Thai private banking transactions and compliance issues.
- Guide private banking teams locally and regionally on compliance policies and procedures, including monitoring activities.
- Conduct compliance reviews as assigned, such as post-trade checks, e-communication monitoring, gifts/entertainment reviews, and personal account trading audits.
