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Senior Compliance -VP/SVP

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About The Role: We are seeking an experienced and highly motivated Senior Compliance experience to lead our compliance efforts in the securities business, with a particular focus on ensuring adherence to SEC regulations. The successful candidate will be responsible for developing, implementing, and overseeing compliance programs, policies, and procedures to ensure that the company complies with all applicable laws and regulations.

Key Responsibilities:

  • Ensure the company's operations and business transactions follow all relevant laws and regulations, particularly those set forth by the SEC.
  • Maintain current knowledge of SEC regulations and other relevant laws to ensure that the company remains compliant.
  • Serve as the primary point of contact for SEC examinations and inquiries.
  • Design and implement compliance programs, policies, and procedures to mitigate risk and ensure adherence to regulatory requirements.
  • Conduct regular risk assessments and audits to identify potential compliance issues and develop corrective action plans.
  • Monitor compliance with internal policies and external regulations, conducting investigations as necessary.
  • Prepare and present compliance reports to senior management and the board of directors, highlighting key compliance issues and recommended actions.
  • Collaborate with internal and external stakeholders, including regulators, auditors, and legal advisors, to address compliance-related matters.
  • Advise management on emerging compliance issues and the potential impact of regulatory changes on business operations.

Key Requirement:

  • Bachelor’s degree in Finance, Law, Business Administration, or a related field. A Master’s degree or JD is preferred.
  • Minimum of 8-10 years of experience in compliance within the securities industry, with a strong focus on SEC regulations.
  • Proven experience in a senior compliance role, with demonstrated leadership and management capabilities.
  • In-depth knowledge of SEC regulations and securities laws.
  • Strong analytical, problem-solving, and decision-making skills.
  • Excellent communication and interpersonal skills, with the ability to influence and negotiate at all levels.

This company is much more than international securities business and is anything but traditional. They have the people and ethos to act with speed, innovation, enterprise and creativity. The scope of the offer, the size of the business, the freedom and autonomy to drive your career forward all adds up to a great place to work.

If you are driven, determined and want to take the next step in your career, this is the role for you. Great career progression opportunities await the right person in this exciting Sr.Compliance VP/SVP job.

Apply today or call me to discuss this new opportunity.

Due to the high volume of applications, our team will only be in touch if your application is shortlisted.

Robert Walters Recruitment (Thailand) Limited
Recruitment License No.: น. 1188 / 2551

Contract Type: FULL_TIME

Specialism: Banking & Financial Services

Focus: Compliance

Industry: Financial Services

Salary: Variable Bonus , Medical Benefits , Provident Fund

Workplace Type: On-site

Experience Level: Senior Management

Location: Bangkok

Job Reference: E4JLJG-1180AC5A

Date posted: 29 January 2025

Consultant: Tanakorn Toonkumthornchai

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