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• The team assesses key regulatory and compliance risks for entities in Grab Financial Group; monitors for compliance with new or amended regulations; develops and implements controls, policies, procedures and training; conducts testing; investigates, surveils and monitors for compliance risks and breaches; and leads responses to regulatory examinations, audits and inquiries. We collaborate closely with cross-functional teams to enable technology-led solutions to meet compliance objectives. We also correspond with regional regulators and proactively identifies opportunities to deepen ...
• Get to know the Role:
• This is an individual contributor role based in Bangkok, Thailand and the individual will be the regulatory compliance lead for our new Invest business. This role will entail advising the business and seeing through our license application with the SEC as well as our planned business launch in 2H 2021. A candidate with the right background and experience can potentially be elevated to lead the compliance team for Grab Financial Group in Thailand.
• Regulatory Compliance Advisory.
• Assist in the license application for the Wealth business;.
• Render regulatory compliance advice on all aspects of compliance, including but not limited to: AML/KYC, investment suitability, outsourcing, business continuity and technology;.
• Develop, maintain and implement the Country compliance program, including formulating compliance policies and procedures, regulatory documentations, and maintaining compliance registers;.
• Ensure regulatory reporting requirements are met on a timely basis;.
• Review marketing materials to ensure compliance with regulatory requirements;.
• Work closely with operations and product teams to ensure enhancements in compliance processes are adhered to and play a driving role to implement system changes;.
• Act as the MLRO for the Company;.
• Assist to identify and act on potential/ actual AML risk issues such as the drafting of suspicious transaction reports, executing on key AML training initiatives, and the AML onboarding of customers; and.
• Discharge all responsibilities as the nominated Compliance Officer in accordance with regulations in assigned jurisdictions.
• Monitoring, Controls, and Governance.
• Assist to conduct compliance risk assessments and develop plans to address regulatory gaps and drive remediation efforts;.
• Support external and internal audits as required for, but not limited to, the purposes of regulatory or internal controls initiatives;.
• Support efforts in developing an incident reporting framework in relation to Compliance breaches;.
• Coordinate closely with subject matter experts to implement risk mitigation strategies in key areas such as personal data protection, transaction monitoring, business continuity, and information security;.
• Support and where necessary drive government relations activities in regional markets to deepen ties with financial regulators and central banks; and.
• Regularly update stakeholders regarding key compliance risks.
• Training and awareness.
• Responsible to create a compliance culture and awareness in Thailand operations; and.
• Provide compliance trainings and education to staff on a periodic basis;.
• The must haves:
• Minimum 8 years relevant experience in a regulatory compliance function within a financial institution or financial regulator;.
• Familiar with SEC and CMSB requirements and have previous experience in the wealth and/or asset management space;.
• Strong analytical and risk assessment skills, particularly the ability to extract insights;.
• Demonstrated willingness to "get hands dirty" to effectively solve problems;.
• Ability to work independently and yet still be team-oriented;.
• Proactive, self-motivated, detail oriented and well-organized;.
• Excellent written and oral communication skills in English and Thai, with the ability to adapt writing styles to suit a range of internal and external stakeholders;.
• Ability to forge strong relationships with colleagues and numerous stakeholders in a large organization; and.
• Apply a practical and commercially-sensitive mindset in developing creative solutions for the organization.
• We will love to have:
• AML Certification from the ACAMs or its equivalent;.
• Hands-on experience designing operational flows to manage regulatory change management/ compliance breach handling/ outsourcing/ technology risk processes; and.
• Interested and keen to develop a career in fintech.