About The Role

Objectives of this role / About the job

Managing and supporting the related compliance management roles and responsibilities, i.e. compliance control, compliance report, compliance monitoring, and etc., including the jobs as assigned.

Responsibilities

Develop Compliance Review Plan of each year and conduct the Compliance Review accordingly.
Update and lead the implementation of new regulations, update of existing processes and build a compliance monitoring program to ensure ongoing compliance (e.g. from SEC, SET, AIMC, AMLO, PDPA, IT Security , and etc.)
Ensuring compliance with the rules and guidelines of related regulators and the company's internal policies and procedures.
Continuously review and update procedures/policies to reflect compliance and business requirements.
Monitor and follow up with responsible units on the rectification plan for the SEC or related regulators findings/observations.
Provide advice, coordinate and work closely with business units and relevant regulators to make sure that the company fully complies with relevant rules and regulations.
Prepare and submit Compliance reports that are required by the regulators.
Provide internal training related to compliance requirements.
Prepare Compliance related documents and report to related Committee and/or Boards.
Performing any other duties and responsibilities as requested by the Management.