PB Compliance Officer

Role Overview:

As a PB Compliance Officer, you will be responsible for managing regulatory and compliance matters, ensuring alignment with local regulations, and providing compliance advisory support to the business unit. You will be involved in overseeing regulatory developments and updating compliance policies to effectively mitigate risks.

Key responsibilities include:

• Handling communications with local authorities such as the SEC Thailand and liaising with the parent company.
• Assisting in the regulatory and compliance aspects of DC Advisory private banking operations set to launch in Thailand.
• Designing and conducting risk-based local compliance monitoring programs.
• Supporting the private banking business unit both locally and regionally on compliance-related matters.
• Conducting reviews on post-trade monitoring, e-communication surveillance, and other compliance tasks.

Key Qualifications:

• A bachelor’s degree or higher in a relevant field such as law, accounting, finance, or business administration.
• Experience in a compliance role, with a strong understanding of local regulatory requirements.
• Fluent in both Thai and English, with excellent communication and stakeholder management skills.

Let me know if we can have a quick chat about this role naka.