Head of Wealth Management Compliance (Thailand)

  • Sector: 银行和金融
  • Contact: Guitar - Santarat
  • Location: 泰国
  • Salary: Negotiable
  • Expiry Date: 14 May 2024
  • Job Ref: BBBH224616_1707885693
  • Contact Email: b.santarat@monroeconsulting.co.th

Executive recruitment company Monroe Consulting is recruiting on behalf of Global international bank in Thailand. The company has offers a broad range of financial services in local and foreign currencies to corporate and financial institutions in Thailand.

The WM Compliance Officer is responsible of leading, managing and organizing the Compliance function within Business Line (at the territory level), in close cooperation with local/Regional Domains and the Compliance COO APAC

Job Responsibilities

  • The WM Compliance Officer provides reasonable assurance to the Territory Compliance Thailand and to the business Head of Wealth Management Thailand that adequate Compliance framework is in place
  • In line with applicable local Regulations o in line with any applicable Group and WM internal policies & procedures
  • Responsible of assessing a consolidated vision of Business Line risks and reporting these to local Territory and WM senior management (Business & Compliance)
  • In accordance with the Group Code of Conduct, he/she sets the tone to develop a strong Compliance culture, in line with the following principles
  • Independence, integration and decentralization
  • Directly in charge of Financial Security, Know Your Customer, Protection of Clients' Interests, Market Integrity, Professional Ethics, Securities/Banking Regulations for WM Thailand

Job Requirements

  • General knowledge of applicable regulatory framework and its evolutions including FS and KYC
  • Knowledge of Compliance issues and challenges specific to his/her environment (Business Lines, Countries, Regions)
  • Knowledge of the Bank (processes, products, client)
  • Compliance experience in Securities business, preferably in wealth
  • Fluent both in Thai and English (both written and spoken)