Job Description

• Providing consultation on compliance matters.

• Preparation and conduct compliance reports as well as compliance programs.

• Conduct investigation in the event of non-compliance.

• Conduct oversight supervision and monitoring of corrective actions and preventative measures to avoid future occurrences of non-compliance.

• Handle other assignments as requested by Head of Compliance.

• Execute specific assignments to meet the Dept. objectives & accomplish the Div. goals by planning, controlling & supporting all activities, as necessary.

• Facilitate the Sustainability & Corporate Governance Committee (SCGC) meeting arrangements & prepare all supporting materials (agenda, invitation letter, minutes, presentation, etc.).

• Consolidate & submit the monthly performance report from each Dept.

• Provide advice to & monitor the Bank operations of Business Units (BUs) to ensure compliance in accordance with rules/regulations re: the Bank of Thailand (BOT) governance, incl. renting office/working space, etc. especially with any BOT related persons, & other related supervisory authorities, as needed.

• Conduct & consolidate the Compliance Annual Report, present to the SCGC for consideration/approval, & submit to the BOT.

• Review the Compliance Charter, Compliance Policy, Anti-Corruption Policy and Program, Whistleblowing Policy, & other pending announcements of Policies/Procedures/Manuals/Guidelines/Standards or all documents from the past (e.g., Conflict of Interest (COI), Gift & Hospitality, Sponsorship, Donation, Political Contribution, Revolving Door, etc.), as well as establish EN language for the documents present to the SCGC/the Board of Directors (BOD) for consideration/approval, & submit the requested documents to the BOT.

• Publish the LHFG & the Bank's Anti-Corruption Policy, in 2 languages (EN & TH), on both websites.

• Recertify a member with the Thai Private Sector Collective Action Against Corruption (Thai CAC) by handling & finalizing all supporting documents (Checklist 71 Items, Corruption Risk Assessment, etc.), presenting to the SCGC/the Audit Committee (AC)/the BOD & the Chairmans for consideration/approval, & submitting to the Thai CAC.

• Ensure effective communication, including written/verbal translation/rewritten, with the CTBC, at the Div. level.

• Follow up & collaborate with the Div./Dept. Heads, other relevant BUs, & the CTBC on tasks to be completed within the specified period

• Monitor the Div. budgets/expenses (CAPEX & OPEX) & maintain office supplies.

• Provide support to the Div. Head in all schedule arrangements & other administrative tasks, e.g., the team events/activities, Business Continuity Plan (BCP), etc., as appropriate.

• Liaise with the relevant BUs for the Div. Head & team members.

• Oversee the changes on the above-assigned rules/regulations, analyze the impacts, & present to the management team for execution.

• Outline tendency of changes in such aspects of rules/regulations & promote key skills & culture of understanding across the relevant employees/BUs.

• Coordinate with the government authorities supervising BOT governance, renting office/working space, etc. especially with any BOT related persons, for examination of information or other related tasks.

• Develop the relevant guidelines/framework, prepare or centralize the requested reports & other documents, as well as present or submit to the management team.

• Perform other duties as assigned.

Qualifications for Positions

• Bachelor's degree or higher in Law, Finance, Accounting, Economics, or a related field

• At least 5–10 years of relevant work experience, such as in compliance, audit, or other related functions

• Experience in the investment and fund management business will be given special consideration

• Familiarity in the financial services industry or within a second line or third line function.

• Ability to understand and interpret laws and regulations.

• Strong knowledge and understanding of laws and regulations related to Investment Banking, Asset Management, and Securities Businesses.

• Proficient in computer programs such as Microsoft Office and relevant systems (e.g., Bonanza)

• Excellent English communication skills (both written and verbal)

Contact Person: Nanthipak

Email [email protected]