Head of Compliance

2 weeks ago

กรงเทพมหานคร, 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 with the senior management to update and implement policies and standard, monitor and manage all compliance activities, provide technical expertise, advice and consultations to management and business partners on compliance related to business initiatives. Incumbent will also be responsible for promoting a strong compliance management culture throughout the organization.

**Responsibilities**:

- Ensure the company's full compliance with Thai regulatory requirements, including those set by the Securities and Exchange Commission (SEC) and other governing bodies.
- Oversee the creation, review, and implementation of compliance policies, ensuring they align with local and international laws.
- Performing annual IOE and Compliance plan and managing the compliance process of the company.
- Develop and update compliance policies, and standards in alignment with global practices and the company’s strategic objectives.
- Communicate policies and standards across all organization levels, providing guidance on compliance matters to ensure awareness and adherence, while fostering a culture of compliance through ongoing education on regulatory updates and best practices.
- Lead internal audits and work with external auditors to ensure all compliance measures are met.
- Oversee compliance monitoring programs and identify any areas of non-compliance or potential risk.
- Arrange the regular meeting for Audit Committee (AC) as the secretary of the Committee.
- Involve and present in the Investment Committee (IC), Real Estate Investment Committee (REIC), Management Committee (MC) and Investment Operation Sub Committee to update on new regulatory requirements in each Committee.
- Liaise with local regulators and maintain strong relationships to stay updated on regulatory changes and interpretations.
- Act as primary liaison for the company with the SEC, other statutory authorities, Data Protection Officer (DPO), and AML Officer.
- Lead and develop the compliance team, fostering a culture of integrity, transparency, and regulatory excellence.
- Any other responsibilities/tasks as assigned by Management.

Qualifications:

- Master’s or bachelor’s degree in related fields.
- Minimum of 10 years of working experience with preferrable in asset management industry.
- Possess qualification required by SEC.
- Strong knowledge of SEC rules and regulations.
- Deep understanding of financial service products and markets, pertinent to securities laws and regulations, asset management business processes and practices.
- Must have proven and strong abilities and skills in the areas of written and verbal communication, presentations, attention to detail, critical thinking, analytical, problem solving, decision making, consulting, influencing, and relationship building skills.
- Demonstrates the ability to work both independently and collaboration within a team environment, effectively lead others, take initiative, resolve conflict, and adapt flexibly to prioritize multiple tasks. Proven capability to perform effectively in a dynamic business environment.
- Excellent written, verbal communication, and presentation skills in English.

Additional Information:
**Location**: Nearby BTS Chidlom

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