Law and Regulatory Compliance - Commercial Bank

Job Summary

         Support the business in its operations and growth initiatives. The candidate will be responsible for managing regulatory and compliance risks for the KKPFG, ensuring compliance with applicable laws, regulations and internal policies and procedure. The candidate will have the responsibility to manage regulatory liaisons and manage regulatory relationships.

Role and Responsibilities / หน้าที่ความรับผิดชอบ

• Reporting to Company’s Board of Directors, Audit Committee, and other relevant Committee within KKPFG, you will be responsible to support Head of Compliance to develop and implement a regulatory framework across second-line compliance responsibilities to ensure the company meets its regulatory and license obligations.
• Act as the key liaison officer between the company and Securities and Exchange Commission (‘SEC’) and provide regulatory advice and recommendations to the business units.
• Keep update of regulatory changes/new regulatory developments and disseminate to the business units.
• Provide compliance and regulatory advisory on an ongoing basis including advice on existing and new SEC regulatory requirements.
• Tasks/ projects/reviews as required from time to time.

Qualifications / คุณสมบัติ

• At least 3 years of combined working experience in compliance function including asset management company, securities company, bank or regulatory/advisory function in an audit or legal firm, or regulatory/compliance advisory function in a consulting firm or fintech company.
• Degree in Law, Finance, Accounting, Economics, Business Administration, or other closely related professional qualifications
• Previously experience in SEC regulations and related regulations.
• Good knowledge of Securities business
• Outstanding communication and interpersonal abilities.
• Strong analytical, problem-solving skills, attention to detail, and the ability for regulatory advocacy
• Communicate effectively in English and Thai (oral and written).g, planning, problem-solving, positively negotiation and cross-team collaboration

Specific knowledge and skill / ความรู้เฉพาะตำแหน่ง

• Strong knowledge of Securities business process or Asset Management business process will be specially considered.