KateWorthington

Compliance Associate

KateWorthington  •  Bangkok, TH (Onsite)  •  2 months ago
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Job Description

  • Review documents for submission to regulators.
  • Handle complaint cases and any requests from regulators
  • Implement and manage an effective compliance program relating to e-Payment, lending, insurance brokerage, and/or mutual fund brokerage businesses.
  • Advise teams on regulatory-related matters.
  • Formulate, review and maintain policies and guidelines under Compliances responsibility up-to-date.
  • Liaise with both regulators and other departments on compliance related matters.
  • Coordinate and follow up with the responsible units for information and documents requested by regulators
  • Fulfill regulatory reporting obligations complying with the laws and regulations.
  • Keep monitoring all related laws and regulations.

Requirements

  • Bachelors or higher degree in Law or related fields.
  • 2 years' experience in Legal, Compliance, Financial Regulatory.
  • Have expertise and experience in specific regulations applicable to financial sectors (e.g. BOT, OIC, SEC, or AMLO).
  • Strong analytical and problem-solving experience on legal and compliance issues.
  • Good command of English.
KateWorthington

About KateWorthington

With over 15 years of experience in the recruitment industry, Kate Worthington has served a diverse range of companies including public listed corporates, start-ups, and non-profit organizations. The goal is to connect the dots between corporations and the scarcity of talented professionals in specific markets.

As a recruitment company that values data and insights, Kate Worthington aims to consistently bring together clients and candidates to help them realize their aspirations. With a passionate, motivated, and adaptive approach, Kate Worthington has established itself as a remarkable recruitment company in this evolving industry.

Industry
HR & Recruiting
Company Size
11-50 employees
Headquarters
Bangkok, TH
Year Founded
Unknown
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