Compliance Manager

Objectives of this role / About the job:

Managing and supporting the related compliance management roles and responsibilities, i.e. compliance control, compliance report, compliance monitoring, and etc., including the jobs as assigned.

Responsibilities:

• Develop Compliance Review Plan of each year and conduct the Compliance Review accordingly.
• Update and lead the implementation of new regulations, update of existing processes and build a compliance monitoring program to ensure ongoing compliance (e.g. from SEC,SET, AIMC, AMLO,PDPA, IT Security,and etc.)
• Ensuring compliance with the rules and guidelines of related regulators and the company's internal policies and procedures.
• Continuously review and update procedures/policies to reflect compliance and business requirements.
• Monitor and follow up with responsible units on the rectification plan for the SEC or related regulators findings/observations.
• Provide advice, coordinate and work closely with business units and relevant regulators to make sure that the company fully complies with relevant rules and regulations.
• Prepare and submit Compliance reports that are required by the regulators.
• Provide internal training related to compliance requirements.
• Prepare Compliance related documents and report to related Committee and/or Boards.
• Performing any other duties and responsibilities as requested by the Management.