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.

Qualifications

• Bachelor's degree or higher in Law, Finance, Economics, or related field.
• Minimum 3-5 years of experience in compliance, legal, or regulatory roles within the securities or financial services industry.
• Strong knowledge of securities laws, regulations, and industry practices.
• Familiar with relevant audit software, data analysis tools, and proficient in Excel and other related applications.
• Experience working with regulatory agencies (e.g., SEC, SET, etc.) is highly preferred.
• Excellent analytical, problem-solving, and communication skills.
• High level of integrity, ethical standards, and attention to detail.
• Ability to work independently and collaboratively in an uncertain environment.