Head of Wealth Management Compliance Thailand
1 week ago
The WM Compliance Officer
- **provides reasonable assurance **to the Territory Compliance Thailand and to the business Head of Wealth Management Thailand
- **that adequate Compliance framework is in place**:
**in line with applicable local Regulations**
**in line with any applicable Group and WM internal policies & procedures**
- The WM Compliance Officer is responsible of
- **leading, managing and organizing the Compliance function within his/her Business Line **(at the territory level), in close cooperation with local/Regional Domains and the Compliance COO APAC
- He/she is responsible of
- **assessing a consolidated vision of Business Line risks and reporting **these
- ** **to local Territory and WM senior management (Business & Compliance)
- In accordance with the Group Code of Conduct, he/she sets the
- **tone **to develop a strong Compliance culture, in line with the following principles:
- Independence, integration and decentralisation- Specialization of expertise- Accountability: Compliance is everyone's duty- Dialog: Compliance as a Business partner- Adequate training program- He/she is directly in charge of Financial Security, Know Your Customer, Protection of Clients’ Interests, Market Integrity, Professional Ethics, Securities/Banking Regulations for WM Thailand
**TECHNICAL SKILLS**:
- General knowledge of applicable regulatory framework and its evolutions including FS and KYC
- Knowledge of Compliance issues and challenges specific to his/her environment (Business Lines, Countries, Regions)
- Knowledge of the Bank (processes, products, clients )
**SOFT SKILLS**:
- Integrity
- Accuracy
- Directing in a positive way
- Self-confidence
- Ability to learn (curiosity)
- Client focus
- Vision
- Decision-making skills
- Impact
- Acting with perspective
- Developing others
**PRIMARY LOCATION**
**TH-10-Bangkok**
**JOB TYPE**
**Standard / Permanent**
**JOB**
**COMPLIANCE**
**EXPERIENCE LEVEL**
**At least 5 years**
**REFERENCE**
**COM002581**
**APPLY**
***
- (REF: COM002581)
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