Assistant Manager, Compliance

About the Company

At Principal, we invest in what matters. And building dedicated teams is where it all begins. We’re drawn to people who bring outstanding perspectives, passion, and expertise to help us advance the financial security and well-being of our customers. We also aim to transform our growing business and drive positive change in the communities where we live and work.

When we invest in you, and you invest in us, great things happen.

What You’ll Do

• Ensuring the Asset management’s business operations are undertaken in accordance with rules and regulations of the, the Securities and Exchange Commission and other supervisory authorities.
• Co-ordinate with other staff in each department to establish and arrange for and adequate and properly operation procedures and manual, documented system of plans, control and maintenance mechanisms, and company’s policies rules, standard duties or practices in order to ensure that employee(s) are perform his/her own duties and / or functions properly and to prevent the undesirable deviation actions.
• Conduct and perform day to day audit & compliance monitoring review
• Prepare any reports required by regulators.
• Monitoring investment limit in Bonanza Investment system.
• Review and prepare audit report as prescribed in Compliance work plan and in line with rules and regulations of SEC .
• Any other responsibilities/tasks as assigned by the Management from time to time.

Qualifications

• Bachelor’s or master’s degree in business administration, Legal, Economics, Finance and Banking, or related fields.
• 2-3 years of experience in compliance related in Banking or financial institution
• Demonstrated fluency in Thai and English, with excellent verbal and written communication skills.
• Minimum TOEIC score of 750 required.
• Outstanding written and verbal communication, presentation skills, and computer proficiency. Strong analytical skills and the ability to work effectively under pressure.
• A keen interest and knowledge of both international and domestic regulatory landscapes following SEC Thailand.

Additional Information

Principal Financial Group is a Fortune 500 global leader in financial services specializing in insurance, retirement, and asset management. We have 18,000 employees and 51 million customers around the world with over $714B in assets under management.