Senior Compliance (Manager - VP) - Merchant Partners Securities Public Company Limited

• Advise the Board and senior management on regulatory risks and compliance matters and updating and monitoring changes in relevant regulations (SET/SEC/AMLO and others). Integrate compliance risk into enterprise risk management framework.

• Performing compliance audits in accordance with the relevant methodology, identifying compliance weaknesses and risks as well as making recommendations for mitigating such risks and reporting their findings to COO and follow up timely implementation of mitigating actions.

• Conduct periodic reviews, testing, and surveillance activities (trading, sales, advisory), Monitor trading transactions and report any abnormal case to COO and related regulators.

• Conducting compliance training to employees on new statutory and regulatory compliance requirement.

• Act as the primary contact with regulators, auditors, and external authorities and coordinating with the related regulators (especially SET).

• Providing correspondence in connection with compliance matters to government agencies or regulators.

• Advocating and coordinating with Lawyers regarding legal process including collecting the various information related to the cases.

• Preparing an agreement depends on the company’s situation and following the cases.

• Analyze the applicable laws for the company's situation and inform COO.

• Perform other compliance and legal duties as assigned. 

• Lawyer’s License (if any).

• Experience in Legal proceeding and Compliance’s task.

• Minimum 5 years of experience in any filed in Securities Brokerage.

• Good Knowledge in Securities Business.

• Good Communications and Presentation Skill in Thai and English.

• Good Computer skill i.e. Microsoft word, Excel, Power Point.