Senior Compliance Advisory

atBualuang Securities Co., Ltd.

Position: Senior Compliance Advisory at Bualuang Securities. Key Responsibilities: The role involves providing regulatory guidance to business units on compliance matters, monitoring regulatory changes, and supporting product development. Primary duties include: Advising business units on regulatory requirements, company policies, and compliance practices relevant to operations; Analyzing regulatory updates from authorities and recommending policy improvements; Evaluating regulatory and compliance risks in new product/service development; Monitoring business unit compliance with established guidelines; Conducting compliance reviews and assessments; Analyzing compliance issues, root causes, and recommending remediation approaches; Coordinating regulatory inspections and audit preparations; Delivering compliance training to staff; Communicating regulatory updates to business units; Supporting data privacy and impact assessments (DPIA). Required Qualifications: Education: Bachelor's degree or higher in law, accounting, business administration, or related field. Experience: 5-10 years of compliance or risk management experience in securities, financial institutions, or regulatory agencies. Technical Skills: Comprehensive knowledge of securities regulations; ability to interpret and apply regulatory requirements to business operations appropriately.

Experience required
  • any or no experience
Salary
  • Negotiable
Job function
  • Consultant
Job type
  • Full-time

Company overview

Size:500-1000 employees
Industry:Banking & Finance
Location:Bangkok
Website:bualuang.co.th
Founded in:2001
Ranking:4/5

Bualuang Securities was established in 2001 as broker number one of the Stock Exchange of Thailand’s member and one of the leading securities companies in Thailand. Bualuang Securities is a subsidiary of Bangkok Bank, having Bangkok Bank Public Company Limited as the major shareholder to operate cap ... Read more

Why join us: Join us

Job location: Bang Rak
Head office: 29/F Silom Complex Office Building, 191 Silom Road, Bangrak, Bangkok 10500
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