Compliance - Manager to AVP Level

An esteemed financial institution in Bangkok is seeking a Compliance to join their dedicated team. This is a unique opportunity for you to play a pivotal role in ensuring the highest standards of regulatory adherence within a respected securities business.

What you'll do:

As an Assistant Vice President Compliance based in Bangkok, you will play an integral part in shaping the organisation’s approach to regulatory adherence.

* Prepare the Annual Compliance Plan by assessing current regulations, internal policies, and emerging industry trends to ensure robust compliance coverage throughout the year.

* Conduct thorough monitoring and testing activities according to the established Compliance Plan, including reviewing account openings for trading of securities and future contracts.

* Oversee processes related to deposit, withdrawal, and transfer of securities or collateral, ensuring all transactions comply with relevant legal and regulatory requirements.

* Manage changes to customer information with meticulous attention to detail, safeguarding data accuracy and confidentiality at every stage.

* Monitor trading orders for potential irregularities or errors, investigating port errors promptly and implementing corrective actions as needed.

* Supervise custodial activities and address any non-compliance reports (NCRs), working collaboratively with internal teams to resolve issues efficiently.

* Review staff trade activities regularly to ensure adherence to internal policies and external regulations, fostering a culture of transparency within the organisation.

* Prepare comprehensive Annual Compliance Reports that summarise findings, highlight key risks, and recommend actionable improvements for senior management review.

* Coordinate effectively with regulators by submitting requested information accurately and on time, maintaining open lines of communication at all times.

* Perform trade surveillance monitoring for improper trading activities, escalating concerns appropriately while supporting ongoing compliance initiatives led by the Head of Compliance.

What you bring:

To excel as an Assistant Vice President Compliance, you will bring proven experience from roles within securities businesses or brokerage environments where regulatory demands are high.

* A university degree at Bachelor level is required; a Master’s degree is advantageous but not essential for consideration in this role.

* At least three years of relevant experience within securities businesses or brokerage firms is necessary to ensure familiarity with industry-specific compliance challenges.

* Comprehensive knowledge of capital market products enables you to understand complex transactions and associated regulatory requirements thoroughly.

* Demonstrated proficiency in analytical thinking allows you to assess situations critically and develop effective solutions for compliance-related matters.

* Hands-on experience managing compliance processes ensures you can implement practical measures that uphold organisational standards consistently.

* Proven ability in team management supports a collaborative atmosphere where knowledge sharing and mutual support are prioritised among colleagues.

* A good command of English is beneficial for communicating with diverse stakeholders; however, it is not mandatory for selection into this position.

* Advanced skills in Microsoft Office applications facilitate efficient documentation, reporting, and analysis of compliance activities across multiple platforms.

* Strong interpersonal abilities help foster positive relationships both internally with team members and externally with regulators or clients.

What sets this company apart:

This organisation stands out as a leading force within Thailand’s financial services sector due to its unwavering commitment to ethical conduct, transparency, and regulatory excellence. Employees benefit from a culture that emphasises collaboration over competition—where teamwork is celebrated and individual contributions are recognised as vital components of collective success.

What's next:

If you are ready to advance your career in compliance within a supportive environment that values your expertise and encourages growth, this opportunity awaits your application.

Apply today by clicking on the link provided—take the next step towards joining an organisation where your contributions matter.

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