Vice President, Retail Business Compliance Th
3 months ago
**Responsibilities**:
- Ensure the related policy under Compliance will be reviewed and updated to be in line with Group’s standard and regulatory requirement.
- Provide advisory and recommendation concerning laws and regulatory requirements of all regulators and compliance policy of the bank
- Coordinate with business units to seek all necessary regulatory approval and information upon regulator’s requests
- Develop effective tools or procedures for disseminating and communicating Compliance Policy to all bank staff
- Establish, review, provide advisory and handle matters related to Market Conduct Policy.
- Provide advisory and recommendation concerning laws and regulatory requirements of all regulators and compliance policy t fulfill compliance of the bank
- Establish and communicate compliance policy to all staff of the bank
- Ensure that new regulatory requirements is summarized and communicated with related business units in order to prosper operational process in compliance with the new regulatory requirements
- Ensure that periodic training courses on relevant BOT and regulations is conducted to relevant staffs of the Bank and subsidiary companies
- Coordinate with BOT for supporting banking business operation of the Bank and subsidiary companies
- Ensure that banking operational process is reviewed and assessed incompliance with BOT, SEC, OIC, NCB requirements on regular basis
- Report key non-compliance incidents related to retail business function including providing root cause analysis of the non-compliance, update change in compliance risk themes to management and related committee on regular basis.
- Conduct risk assessment, scheduling Compliance Program, and conduct Compliance Review for retail business functionSupervise and manage to provide compliance advisory to subsidiaries.
**Qualifications**:
- At least Bachelor’s Degree or Professional Qualification in the relevant discipline (Accounting/ Finance/ Economics/ Law)
- 10 years of experience of relevant banking background in established bank / financial institutions
- 5 years of banking and securities business compliance in a banking role in established financial institutions
- Understands the industry and the factors that can affect regional and corporate goals; uses industry knowledge in planning and decision making.
- Stays abreast of current developments and trends in all relevant laws/ regulations/ technical/ professional knowledge areas.
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