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
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
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Benefits
- Learning & Development Opportunities
