Compliance - KGI Securities (Thailand) Public Company Limited

Key Responsibilities

• Monitor and ensure compliance with securities laws, regulations, and guidelines issued by relevant authorities (e.g., SEC, SET, or other applicable regulators).
• Review and assess new regulations or changes to existing rules and advise management on their impact.
• Develop, update, and implement compliance policies, procedures, and controls.
• Conduct regular compliance risk assessments and internal audits related to securities activities.
• Provide compliance training to employees, particularly those involved in securities trading, investment advisory, and related functions.
• Review and approve marketing materials, disclosures, and product documentation to ensure regulatory compliance.
• Investigate and report compliance breaches, potential violations, or suspicious transactions in accordance with regulatory requirements.
• Liaise with regulators during inspections, audits, and inquiries.
• Maintain accurate compliance records and prepare required regulatory filings and reports.

Qualifications

• Bachelor’s degree or higher in Law, Finance, Economics, or related field.
• Minimum 3-5 years of experience in compliance, legal, or regulatory roles within the securities or financial services industry.
• Strong knowledge of securities laws, regulations, and industry practices.
• Experience working with regulatory agencies (e.g., SEC, SET, etc.) is highly preferred.
• Excellent analytical, problem-solving, and communication skills.
• High level of integrity, ethical standards, and attention to detail.
• Ability to work independently and collaboratively in a fast-paced environment.

Preferred Skills

• Professional certifications such as Certified Compliance & Ethics Professional (CCEP), Certified Securities Investment Consultant (CSIC), or equivalent.
• Proficiency in regulatory reporting systems and compliance monitoring tools.
• Bilingual skills (Thai & English) for regulatory communication and documentation.

KGI Securities (Thailand) is one of the leading securities firms in Thailand and provides a full range of services such as equity broking (a member of the Stock Exchange of Thailand with broker seat no. 13), investment and financial advisory, securities underwriting, securities registrar, selling of mutual funds, securities borrowing and lending, and OTC derivative and Futures business.