Head of Ib Compliance and Operational Risk, Thailand

6 months ago

กรงเทพมหานคร, Thailand UBS Full time

Thailand
- Compliance
- Group Functions

**Job Reference #**
- 292616BR

**City**
- Bangkok

**Job Type**
- Full Time

**Your role**
- Do you have experience in providing compliance or risk advisory services to a business division? Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it comes to speaking up for what is right and challenging at all levels?
- We are looking for a Head of IB compliance and operational risk, Thailand to:
- ensure relevant compliance and operational risk frameworks, taxonomies, applicable laws and regulations and best practice standards are actively and appropriately managed and complied with by the Thailand Global Markets and Global Banking businesses.
- work with the broader South Asia and APAC Global Markets C&ORC team to provide the Thailand Global Markets and Global Banking businesses with controls, tools, training, frameworks, information and insight required to perform their risk management and supervisory responsibilities.
- proactively drive the identification, assessment, measurement, mitigation and monitoring of compliance and operational risk as it pertains to the Thailand Global Markets and Global Banking businesses
- deliver independent risk assessment and reports that shed light on our risk profile
- review business marketing materials
- ensure adherence to regulations, guidelines and policies issued by the relevant financial regulators, exchanges, clearing houses as well as regulatory developments in other jurisdictions across APAC as well as globally relevant regulations that impact the Global Markets and Global Banking businesses
- help disseminate relevant rules, procedures and controls and developing and delivering compliance and operational risk training programs.
- participate in reviewing new business initiatives and transactions requiring pre-approval
- close liaison with counterparts in the other APAC hubs and offices
- support the business in remaining compliant within the regulatory environment and managing their risk
- ensure risk frameworks are designed well and operating effectively

**Your team**
- You will be the Country Lead for Business-Aligned Compliance and Operational Risk Control (C&ORC) in Thailand, which is part of the broader ASEAN C&ORC team. We support the IB business by partnering with them to effectively manage regulatory risk in an environment of collaboration and constructive challenge. Our duties include implementing the Operational Risk Framework and to ensure regulatory and operational risks are identified, properly assessed and recorded. You'll play an important role in helping us develop risk mitigating measures, controls and adequate remediation plans are in place. You'll also collaborate with global colleagues to ensure that best practices are being shared around the region/globe.

**Your expertise**
- proven financial services compliance or risk advisory experience for ideally 7-10 years
- sound know-how in the analysis of business processes in IB
- good working knowledge of the local regulatory environment as it pertains to that of a broker dealer
- sound know-how in the analysis of business processes and a strong understanding of equities products
- ability to verify aspects of commercial and operational arrangements within the business and challenge documentation with an independent mindset
- reliable, resilient and able to work on your own
- fluent in written and spoken English besides Thai (additional languages are a plus of course)

**About us**
- UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..
- We have a presence in all major financial centers in more than 50 countries.

**Join us**
- At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
- From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?

**Contact Details**
- UBS Business Solutions SA
- UBS Recruiting

**Disclaimer / Policy Statements**
- UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.

  • Vice President, Country Compliance and Operational

    1 month ago

    กรุงเทพมหานคร, Thailand Bank of America Full time

    At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. One of the keys to driving Responsible Growth is being a great place to work for our teammates...

  • Head of Legal

    3 weeks ago

    กรุงเทพมหานคร, Thailand Sandoz Full time

    **Major accountabilities**: - Under leadership of a L&C Leader and in close co ordination with Senior Business (e.g. Country Presidents) and Senior Representatives from other Functions (e.g. Internal Audit, BPO, Legal, Policy Custodians). - Drive robust implementation of the L&C Head role and provide support to Country Head. - Provide strategic direction...

  • Head of Compliance

    6 months ago

    กรุงเทพมหานคร, Thailand Combined Insurance Full time

    This position serves as the Head of Compliance for Chubb Life Thailand and is principally responsible and accountable for providing compliance services to Chubb Life Thailand. The position reports directly to the Country President of Chubb Life Thailand, and matrix reports to the Chubb Life Global Chief Compliance Officer based in Hong...

  • Head of Compliance

    5 days ago

    กรุงเทพมหานคร, Thailand PayPal Full time

    **The Company** PayPal has been revolutionizing commerce globally for more than 25 years. Creating innovative experiences that make moving money, selling, and shopping simple, personalized, and secure, PayPal empowers consumers and businesses in approximately 200 markets to join and thrive in the global economy. We operate a global, two-sided network at...

  • Head of Compliance

    2 months ago

    กรุงเทพมหานคร, Thailand Principal Financial Group Full time

    **Responsibilities**: **Head of Compliance** Head of Compliance will directly report to the Audit Committee of Thailand and to The Chief Compliance Officer, Asia. Overall responsible for overseeing the compliance activities for the company, ensuring adherence to the regulatory requirements and global compliance standards. The role involves collaboration...

  • Risk & Compliance Manager

    7 months ago

    กรุงเทพมหานคร, Thailand Dextra Group Full time

    Under the supervision of the Group Tax & Internal Audit Manager, your primary responsibility will be to study the potential risks and propose preventive solutions to avoid them and ensure the continuity of activities. - Lead, supervise and coach a team of Internal Audit based on a Risk-Based to ensure the internal controls, processes, policies, and...

  • Head of Operational and Technology Risk Management

    7 months ago

    กรุงเทพมหานคร, Thailand Prudential plc Full time

    Prudential’s purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and we support...

  • Regional Risk and Compliance Officer

    2 months ago

    กรุงเทพมหานคร, Thailand International Organization for Migration Full time

    Position Title**: Regional Risk and Compliance Officer** Duty Station**: Bangkok, Thailand** Classification**: Professional Staff, Grade P4** Type of Appointment**: Fixed term, one year with possibility of extension** Estimated Start Date**: As soon as possible** Closing Date**: 21 November 2024** - Established in 1951, IOM is a Related Organization of the...

  • Regulatory Compliance Officer

    6 months ago

    กรุงเทพมหานคร, Thailand BNP Paribas Full time

    Responsible for working on the regulatory watch and updating procedures relating to regulatory guidelines and rules. This includes: - Disseminate and advise on regulatory updates to relevant parties;- Due diligence annual checks, and other industry examination monitoring- Assist the Head of Compliance for the territory in projects involving regulatory...

  • Risk Manager

    1 day ago

    กรุงเทพมหานคร, Thailand Visa Thailand Full time

    Develop and execute a comprehensive risk plan that is consistent with local market landscape, market priorities and global risk strategy. Consult with the Thailand Country Manager on all risk issues. Execute both internal and external risk management programs. Work with key partners to co-lead client forums (security summit, Risk Executive Councils, working...

  • Regulatory Compliance Officer

    6 months ago

    กรุงเทพมหานคร, Thailand BNP Paribas Full time

    REGULATORY COMPLIANCE OFFICER (JOB NUMBER: REG000394) **- Responsible for working on the regulatory watch and updating procedures relating to regulatory guidelines and rules. This includes: - Disseminate and advise on regulatory updates to relevant parties; - Due diligence annual checks, and other industry examination monitoring - Assist the Head of...

  • Head of Ib Partners and Business Development

    7 months ago

    กรุงเทพมหานคร, Thailand David Kennedy Recruitment Full time

    David Kennedy Recruitment is working with a BPO with great employee satisfaction ratings to find the Head of IB Partners and Business Development (Thai Speaking) Position: Head of IB Partners and Business Development (Thai Speaking) Location: Bangkok, Thailand Work Model: Remote Employment type: Service Agreement **Main Responsibilities** - Lead,...

  • CEO

    1 month ago

    กรุงเทพมหานคร, Thailand RISK Full time

    **Company Description** RISK inc: An International iGaming Company Pushing the Boundaries of Entertainment** **Who We Are**: An international iGaming company specializing in identifying and fostering the growth of high-potential entertainment markets. With 600+ professionals in 20+ locations, we operate in 10 countries, serving over 300,000...

  • Credit Risk Management and Compliance Manager

    6 months ago

    กรุงเทพมหานคร, Thailand Qoala Full time

    Fairdee Insurtech Co., Ltd. (part of the Qoala Group) Have you ever aspired to build your own tech startup? Or join an early-stage startup in a leadership role to shape the company’s culture and future, and eventually impact the lives of millions of consumers? If yes, join us at FairDee (Fairdee.co.th). FairDee is the Thailand brand of the Qoala Group....

  • Head of Compliance

    6 months ago

    กรุงเทพมหานคร, Thailand StashAway Full time

    **Key areas of your responsibilities**: - Reporting to the Group Chief Compliance and Risk Officer (CCRO), you will be responsible to develop and implement a scalable regulatory framework across second-line compliance responsibilities to ensure SATH meets its regulatory and license obligations. - Act as the key liaison officer between SATH and SEC and...

  • Treasury & Risk Management Operations New

    2 months ago

    กรุงเทพมหานคร, Thailand LINE Plus corporation Full time

    **Department**:Finance **Team**:Treasury & Risk Management **Responsibilities** Treasury - Monitor financial transactions, manage working capital and investment, and prepare cashflow forecast - Reconcile GL book balance to bank balance and prepare daily fund reports - Manage FX risk and overseas transactions - Record monthly interest income and bank fees...

  • Manager, IT Governance, Risk and Compliance

    3 months ago

    จตุจักร, กรุงเทพมหานคร, Thailand RS PCL Full time

    Responsible for IT Risk Management function and be independent from IT Operations. Provide strategic insight on technology risk and cybersecurity. Provide leadership for the implementation of and compliance with the IT Risk Management Policy, and IT Policy to effectively manage technology related risks, enhance technology resiliency and mitigate risks...

  • Compliance Officer

    3 months ago

    กรุงเทพมหานคร, Thailand Wise Full time

    **Company Description** Wise is a global technology company, building the best way to move and manage the world’s money. Min fees. Max ease. Full speed. Whether people and businesses are sending money to another country, spending abroad, or making and receiving international payments, Wise is on a mission to make their life easier and save them money. As...

  • Officer - Risk Operation Development

    7 months ago

    กรุงเทพมหานคร, Thailand Stock Exchange of Thailand Full time

    Responsibility: - พัฒนาและจัดทำแบบจำลองในการบริหารความเสี่ยงของสำนักหักบัญชีในด้าน Credit Risk, Market Risk...

  • Legal & Compliance Manager

    2 weeks ago

    วัฒนา, กรุงเทพมหานคร, Thailand Orico Auto Leasing (Thailand) Ltd. Full time

    วันทำงานปกติ จันทร์-ศุกร์ 8:30 - 17:30 น. - มีค่าเดินทาง, ค่าล่วงเวลา, กองทุนสำรองเลี้ยงชีพ - ประกันชีวิตและสุขภาพกลุ่ม (รวมค่าทำฟันปีละ 2,000...