JOB DETAILS

JOB DETAIL

- Gathering and understanding all related rules and regulations as well as providing counsel, advice, and guideline for related employees in order to comply with all criteria defined by authorities.
- Arranging training session for all employees to ensure their understanding on all related rules and regulations of both authorities and the Company as well as updating it to the employees when there is a change or amendment on it.
- Defining rules, regulations, criteria, or guideline related to securities brokerage business (i.e. Criteria for considering frequency of securities trading as suspicious transaction, etc.)
- Contacting and coordinating with all authorities related to securities brokerage business of the Company in order to ensure correctness of all processes and information taken.
- Monitoring and controlling all activities of securities brokerage business to comply with rules and regulations of all authorities as well as policies and guidelines of the Company.
- Defining guideline of client complaint handling for securities brokerage business together with tracking fact and reporting to the Board of Directors for further consideration.
- Preparing annual compliance report related to securities brokerage business for proposing to the Audit Committee and Board of Directors of the Company and submitting its copy to the Securities and Exchange Commission of Thailand (“SEC”) and the Stock Exchange of Thailand (“SET”) for acknowledgement within period specified by SEC and SET.
- Reporting a penalty for an employee who does not comply with related rules and regulations to the SEC for acknowledgement.
- Reporting a result of monitoring to related employees and executives to ensure that all actions comply with related rules and regulations of authorities as well as guideline of the Company. Such result shall be reported to the Board of Directors for acknowledgement and further consideration.
- Assisting and advising the Board of Directors and/or its Committee, the Senior Management and other relevant staff in fulfilling their responsibilities to manage compliance risk.
- Providing feedback on compliance obligations, risks , and controls in establishing new products, services, and procedures as well as significant changes to existing ones.
- Reporting the Audit Committee on matters relating to compliance regulatory or internal developments, significant compliance risks or control issues or breaches and incidents identified during compliance reviews/audits and recommendations on how to mitigate such risks.

REQUIRED WORK EXPERIENCE

- Bachelor's Degree or higher in Laws, Accounting, Finance or related fields.
- Senior Minimums 5-10 years experiences in Compliance & Internal Audit in Securities Brokerage.
- Good Knowledge in Securities Business.
- Good Communications and Presentation Skill in Thai and English.
- Good Computer skill i.e. Microsoft word, Excel, Power Point.