Senior Compliance (International Banking Group)

Regulatory Compliance

• Promote strong compliance and control culture and awareness;
• Disseminate relevant new/revised home Regulations in relevant to IBG business to IBG management and overseas branches/subsidiaries;
• Report key new/revised regulations that have significant impacts and other compliance matters to IBG management and Head of Central Compliance;
• Oversight and monitor regulatory risk to ensure that branches/subsidiaries develop appropriate measures to mitigate those risks;
• Coordinate among ACD, IBG, overseas branches/subsidiaries and accommodate document requests or enquiries of the Bank of Thailand and supervisory authority.
• Support IBG management to manage strong regulatory relationship and provide regulatory advice on regulatory issue from examination of the Bank of Thailand
• Maintain good relationship and liaise with supervisory authority, where applicable and required;
• Liaise with Head Office Central Compliance  for any clarification on home regulations related issues and Compliance related policy / guidance;
• Monitor remediation actions of  regulatory issues of home / host supervisory authority;
• Report compliance matters and any exception, incident which may occur in any overseas branches to IBG Management and Head of Central Compliance, and monitor to ensure corrective measures have been developed and implemented in a timely manner;
• Provide compliance advice and concerned regulatory risks to IBG management and overseas branches/subsidiaries;
• Provide regulatory advice and identify compliance risk associated for new products and services or any other business initiatives;
• Ensure that compliance monitoring programs are adequately implemented by overseas branches/subsidiaries.
• Advise and monitor investigation of significant customer complaints / incidents;
• Coordinate for document request /enquiries on Compliance On-site review led by Central Compliance, and participate the on-site reviewupon request.

 Anti-Money Laundering:

• Provide advice and liaise with Head Office AML unit of Central Compliance to seek clarification on Head Office Policy / Guidelines / AML best practices on any AML related issues;
• Oversee and monitor branch’s compliance with applicable AML laws, regulations, regulatory guidance, Head Office AML/CFT policies and guideline;
• Coordinate with overseas branches and relevant Head Office function e.g. IT, PMU on needed AML enhancement e.g. Post Transaction Monitoring.
• Disseminate Head Office AML policies and Guideline to overseas branches;
• Review new / periodic KYC/CDD on high risk correspondent banking accounts conducted by Correspondent Banking Department;

 Qualifications

• Bachelor’s Degree or higher in Law, Accounting, Finance, Economics or related fields
• At least 10 years of working experience in compliance or related field
• Working experience in regulatory authority, banking and consulting firm will be advantage
• Effective communication skills in Thai and English (verbal, written and listening) are required
• Excellent analytical skills, strong communication, presentation skills and problem solving skill will be advantage
• Proactive working style, fast learning, Mature, positive thinking,  self-motivated and good attitude.
• Computer literacy in Microsoft Outlook, Word, Excel, Power Point

Working Location : Silom Head Office

If you require more information, please contact Khun Apinya and Khun Preyanan Tel. 02-296-8357