Compliance Director

Key responsibilities

• Oversee all regulatory and compliance issues, including communication and reporting to relevant local authorities, such as the Securities and Exchange Commission of Thailand (SEC), as well as the parent company.
• Assist with regulatory and compliance activities related to establishing business operations in Thailand, including company formation. (Note: The Thai private banking sector is set to launch operations next year.)
• Design, update, and implement a risk-based local compliance monitoring program, proactively identifying regulatory gaps and local compliance weaknesses, and recommending corrective actions.
• Track local regulatory changes, providing assessments of their implications and the implementation of new or amended regulations and compliance policies to effectively manage and mitigate these changes.
• Serve as the subject matter expert on Thai private banking and compliance issues, including Anti-Money Laundering (AML) and Counter Financing of Terrorism (CFT).
• Offer support and advisory services for transactional due diligence and local compliance matters within the Thai private banking sector.
• Provide guidance and assistance to private banking business units both locally and regionally regarding compliance policies and procedures, including compliance monitoring activities and initiatives.
• Conduct reviews as part of the compliance workplan, such as post-trade monitoring, electronic communication surveillance, gifts and entertainment, and personal account trading.
• Facilitate induction training for new employees as needed.
• Engage in ad hoc assignments and projects as required.