Compliance Oversight

Job Description

·  Providing consultation on compliance matters.

·    Preparation and conduct compliance reports as well as compliance programs.

·    Conduct investigation in the event of non-compliance.

·    Conduct oversight supervision and monitoring of corrective actions and preventative measures to avoid future occurrences of non-compliance.

·    Handle other assignments as requested by Head of Compliance.

·    Execute specific assignments to meet the Dept. objectives & accomplish the Div. goals by planning, controlling & supporting all activities, as necessary.

·    Facilitate the Sustainability & Corporate Governance Committee (SCGC) meeting arrangements & prepare all supporting materials (agenda, invitation letter, minutes, presentation, etc.).

·    Consolidate & submit the monthly performance report from each Dept.

·    Provide advice to & monitor the Bank operations of Business Units (BUs) to ensure compliance in accordance with rules/regulations re: the Bank of Thailand (BOT) governance, incl. renting office/working space, etc. especially with any BOT related persons, & other related supervisory authorities, as needed.

·    Conduct & consolidate the Compliance Annual Report, present to the SCGC for consideration/approval, & submit to the BOT.

·    Review the Compliance Charter, Compliance Policy, Anti-Corruption Policy and Program, Whistleblowing Policy, & other pending announcements of Policies/Procedures/Manuals/Guidelines/Standards or all documents from the past (e.g., Conflict of Interest (COI), Gift & Hospitality, Sponsorship, Donation, Political Contribution, Revolving Door, etc.), as well as establish EN language for the documents present to the SCGC/the Board of Directors (BOD) for consideration/approval, & submit the requested documents to the BOT.

·    Publish the LHFG & the Bank's Anti-Corruption Policy, in 2 languages (EN & TH), on both websites.

·    Recertify a member with the Thai Private Sector Collective Action Against Corruption (Thai CAC) by handling & finalizing all supporting documents (Checklist 71 Items, Corruption Risk Assessment, etc.), presenting to the SCGC/the Audit Committee (AC)/the BOD & the Chairmans for consideration/approval, & submitting to the Thai CAC.

·    Ensure effective communication, including written/verbal translation/rewritten, with the CTBC, at the Div. level.

·    Follow up & collaborate with the Div./Dept. Heads, other relevant BUs, & the CTBC on tasks to be completed within the specified period

·    Monitor the Div. budgets/expenses (CAPEX & OPEX) & maintain office supplies.

·    Provide support to the Div. Head in all schedule arrangements & other administrative tasks, e.g., the team events/activities, Business Continuity Plan (BCP), etc., as appropriate.

·    Liaise with the relevant BUs for the Div. Head & team members.

·    Oversee the changes on the above-assigned rules/regulations, analyze the impacts, & present to the management team for execution.

·    Outline tendency of changes in such aspects of rules/regulations & promote key skills & culture of understanding across the relevant employees/BUs.

·    Coordinate with the government authorities supervising BOT governance, renting office/working space, etc. especially with any BOT related persons, for examination of information or other related tasks.

·    Develop the relevant guidelines/framework, prepare or centralize the requested reports & other documents, as well as present or submit to the management team.

• Perform other duties as assigned.

Qualifications for Positions

·       Bachelor's degree or higher in Law, Finance, Accounting, Economics, or a related field

·       At least 5–10 years of relevant work experience, such as in compliance, audit, or other related functions

·       Experience in the investment and fund management business will be given special consideration

·       Familiarity in the financial services industry or within a second line or third line function.

·       Ability to understand and interpret laws and regulations.

·       Strong knowledge and understanding of laws and regulations related to Investment Banking, Asset Management, and Securities Businesses.

·       Proficient in computer programs such as Microsoft Office and relevant systems (e.g., Bonanza)

·       Excellent English communication skills (both written and verbal)

Contact Person: Nanthipak

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