At Webull, we believe that everyone should have an equal opportunity to control their own financial future.
In order to make this a reality, we work tirelessly to make sure all the key trading features (a comprehensive news cycle, real-time market data, and analytical tools) are completely free. We pride ourselves on our consistent platform innovation and granular datasets that will drive our customers to make smarter financial decisions. We are expanding and currently looking for the following person to join our team.
COMPLIANCE OFFICER
Responsibilities
- Provide guidance to all staff or the business/support units.
- Update any changes in relevant regulations (SET/SEC/AMLO) and update internal policies and procedures to reflect those changes.
- Conduct compliance audits in accordance with the compliance plan.
- Monitor customers transactions and trade transactions on a daily basis.
- Arrange training for employees.
- Conduct compliance risk assessment and ensure business process and internal activities are complied with relevant laws and regulations.
- Others as assigned by Head of Compliance.
Qualifications
- Bachelor's degree in law, Finance, Economics, Business Administration, or a related field.
- Minimum of 2 years experience in compliance, preferably within the securities or financial services industry.
- Strong knowledge of AML (Anti-Money Laundering), KYC, and financial compliance regulations.
- Basic understanding of financial markets, trading practices, and brokerage operations.
- Proficiency in both Thai and English (spoken and written).
- Skilled in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).
- High attention to detail with strong analytical and problem-solving skills.
Benefits
- Social security
- Group Health Insurance
- Provident Fund
- 16 days Annual leave
- Quarterly team dinner
- Meals and Refreshments
- Bonus (based on performance and company's profit)
Location: Webull Securities Thailand, Gaysorn Amarin Tower (BTS Chidlom)
