General Compliance (Group Head)

Business

Banking, Finance, Securities, Insurance

JOB DETAIL

Job Purpose

Group Head - General Compliance is responsible for supporting the Division Head of General Compliance Division in overseeing and executing the compliance program (excluding AML/CFT) within the jurisdiction. This role focus on aligning policies, standards, and processes with local laws, rules, and regulations. The incumbent plays a pivotal role in managing relationships with regulators, ensuring regulatory compliance, and fostering a culture of compliance across the organization.

Key Responsibilities 1. Regulator Engagement o Manage the organizations relationship with key regulators within the jurisdiction. o Serve as the primary liaison between the organization and regulators on compliance risk management matters. o Handle regulatory inspections and ensure timely communication and resolution of compliance-related issues. 2. Compliance Program Execution o Ensure prompt identification of applicable laws, regulations, and requirements, along with impact assessments and implementation of appropriate controls. o Oversee the execution of the compliance program and implement effective compliance processes. 3. Collaboration and Reporting o Collaborate with Head Office, Regional Compliance Department, the APAC Regional Chief Compliance Officer, and other delegates to ensure seamless compliance operations. o Prepare and present compliance reports to relevant governance forums. 4. Training and Awareness o Develop and implement comprehensive compliance training programs for employees within the jurisdiction to foster awareness and adherence to compliance standards. 5. Risk Management o Oversee the identification, assessment, management, and remediation of key compliance risks and issues within the jurisdiction. o Conduct investigations into non-compliance matters, leveraging internal resources such as legal and audit teams or external consultants as necessary. 6. Stakeholder Engagement o Build and maintain strong relationships with internal and external stakeholders, including the Compliance Promotion Department, to advocate for compliance initiatives. 7. System and Process Oversight o Operate compliance-related systems effectively to ensure smooth execution of compliance programs and processes. 8. Additional Responsibilities o Handle incoming TELEX and SWIFT messages or other correspondences related to compliance matters (excluding AML/CFT). o Interpret and provide expert opinions on compliance-related matters. o Perform other tasks and responsibilities as assigned by management or the Division Head of General Compliance.

REQUIRED WORK EXPERIENCE

Education and Experience • Bachelors degree in Law, Business Administration, Finance, or a related field. • Masters degree in a relevant field is preferred. • Extensive experience (typically 10+ years) in compliance, risk management, or regulatory affairs within the banking or financial services industry.

Skills and Competencies • Strong knowledge of local laws, regulations, and compliance requirements (excluding AML/CFT). • Proven ability to interpret and apply regulatory frameworks to organizational processes. • Exceptional communication and interpersonal skills to manage relationships with regulators and stakeholders. • Analytical and problem-solving skills, with the ability to assess risks and implement effective controls. • Leadership and team management capabilities to oversee compliance programs and initiatives. • Proficiency in operating compliance-related systems and tools. • Ability to work collaboratively across departments and regions. Certifications • Professional certifications such as Certified Compliance Professional (CCP), Certified Regulatory Compliance Manager (CRCM), or equivalent are highly desirable.

Information :

• Company : Pasona
• Position : General Compliance (Group Head)
• Location : กรุงเทพฯ
• Country : TH