Lead Compliance

2 weeks ago

, Thailand Shopee Full time

Department Compliance
- LevelExperienced (Team Lead)
- LocationThailand - Bangkok

The Compliance and Risk Management team ensures that Shopee complies with applicable regulations and is primed for success with the right checks and balances while safeguarding the interests of our stakeholders in an inclusive and sustainable digital ecosystem. The team manages potential risks to the company's operations and reputation through risk assessments, internal fraud control, employee training as well as the implementation of information technology policy and cyber security tools.

**About the Team**:

- As the Compliance Team Leader, responsibilities include overseeing compliance support for e-payment, lending, and insurance products. This entails formulating and maintaining policies, assessing regulatory impact, advising internal teams, reviewing regulatory submissions, managing complaints and regulator requests, liaising with regulators and departments, fulfilling reporting obligations, staying updated on regulations, and conducting compliance training.
- Job Description:

- Lead and manage the compliance team that support various products e.g. e-payment, lending, and/or insurance
- Formulate, review, and maintain compliance policies and guidelines to meet regulatory requirements
- Provide advice and assess the impact of new regulations on the business and develop appropriate compliance strategies; including provide mitigation recommendation and follow up the appropriate implementation
- Act as advisor for internal teams for regulatory-related matters
- Review documents before submission to regulators
- Handle complaint cases and any requests from regulators
- Liaise with both regulators and other departments on compliance related matters
- Coordinate and follow up with the responsible units for information and documents requested by regulators
- Fulfill regulatory reporting obligations complying with the laws and regulations
- Keep monitoring all related laws and regulations
- Conduct compliance training for staff members, management, and other related stakeholders

**Requirements**:

- Bachelor’s degree or higher in Law or related fields
- Minimum 5 years' experience in Legal, Banking Compliance, Financial Regulatory
- Have expertise and experience in specific regulations applicable to financial sectors (e.g. BOT, OIC, or AMLO)
- Strong analytical and problem-solving experience on legal and compliance issues
- Good command in written and verbal communication skills in English
- Strong communication skills, with the ability to build strong relationships with regulators and internal stakeholders

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