Have practical understanding of and hands-on experience on financial service laws and regulations in relation to Bank of Thailand, Security and Exchange Commission and AMLO.
Manage the SEC licensing and all SEC queries relating to the business.
Coordinate and work closely with business units and relevant regulators to make sure that the company fully with relevant rules and regulations.
Develop and maintain Regulatory Compliance Audit and Supervision programs.
Write and present the Compliance Supervision Reports to the Board and Audit Committee.
Assist Regulatory Compliance Working Group on company regulatory compliance strategies and to oversee regulatory compliance across company.
Conduct monitoring and Regulatory Compliance Review to ensure consistent compliance across company.
Assessing, monitoring and reporting of compliance risks regarding Regulatory Compliance.
Communicate and facilitate regulatory compliance risk assessment by other business units.
Facilitate business on regulatory impact assessment for new/drafting regulations and consultation papers which are circulated/ announced by the SEC/AMLO/BOT and any other regulatory changes related to business core process.
Coordinate with Legal to develop regulatory compliance procedure & facilitate Business Unit to embed regulatory compliance procedure in Business Unit process.
Act as the point of contact for all advisory and monitoring resources on compliance matters relating to the business and communications with investors and clients.
Perform and complete daily monitoring checklists on fund related issues.
Collaborate with Regulatory Compliance working group, Legal and Business Unit in maintaining as well as lively update the Regulatory Compliance policy & procedure.
Collaborate with Legal and Group Compliance to roll out regulatory compliance intranet (database).
Bachelor s degree or higher in Law, Economics, Finance, or a related field.
At least 8 years of experience in prior Legal and Compliance or Audit in Financial Institutions.
Good command of verbal and written communication skills in Thai and English.
Good computer skills.
Strong analytical, interpersonal, and negotiation skills.
Attention to detail and interest in following the latest regulatory changes.
Experience in Digital Assets Market, Capital Market, and Financial Market will be advantageous.
Must have initiative and a good working attitude
Remark: Given the nature of the mentioned position, where employees are involved with customer data and asset values, and/or the company, to comply with legal and regulatory standards established by the Securities and Exchange Commission, as well as to align with laws and overseeing agencies, the company requires a criminal background check as part of the post-interview process before joining the company. Your criminal history information will be retained for a period of 6 months from the start date.
Job skills required: Finance, English, Compliance, Legal
Job skills preferred: Negotiation