Compliance Officer - CGS International Securities (Thailand) Co., Ltd.

1. Execute tasks in line with established plans and provide consultation in case of issues impacting such plans. Monitor and evaluate securities-related operations to ensure compliance with applicable laws, regulations, company policies, and codes of conduct.
2. Prepare periodic reports on performance results for supervisors and evaluate outcomes against established targets.
3. Provide recommendations to improve operational issues within both internal and related departments, and coordinate with system development teams to enhance operational efficiency.
4. Act as an advisor by providing guidance on compliance with laws, regulations, company policies, and codes of conduct to relevant departments.
5. Conduct training sessions for staff to ensure understanding of applicable laws, regulations, company policies, and codes of conduct.
6. Coordinate with regulatory authorities, including the Securities and Exchange Commission (SEC), the Stock Exchange of Thailand (SET), and other relevant organizations.
7. Seek advice from supervisors when encountering operational issues.
8. Continuously develop knowledge and skills related to the role, including staying updated on relevant news and regulatory changes, in order to provide recommendations for system improvements.
9. Maintain proper organization of confidential documents and ensure adherence to standard operating procedures, including proposing improvements where necessary.
10. Perform other duties as assigned by supervisors.

• Bachelor’s degree in Accounting or a related field
• 1–3 years of experience in auditing within financial institutions

Other qualifications:

• Basic knowledge of the securities business
• Understanding of relevant laws and regulations
• Basic computer skills
• Proficiency in English (speaking, reading, and writing)
• Strong analytical thinking and presentation skills