Compliance Staff

General tasks

Responsible to assist the Compliance Officer/Compliance Manager to monitor and control in order to comply with the Local laws & regulations and also in line with our Bangkok Bank, Head Office’s rules.

Accountability

1. Review legal and regulatory literature, including banking circulars, bulletins, advisories, and updates of Local Authorities’ Regulations;

2. Assess the impact of new regulatory requirement that affects Branch activities and inform concerned operating areas, Branch Manager and Management Committee of any new regulation;

3. Assist in formulating policies and procedures, internal control and monitoring procedures and help in the development and update of written policies;

4. Coordinate review of operating policies and procedures. Recommend changes if necessary;

5. Obtain approval and acknowledgement from IBG on new policy and procedures if necessary;

6. Ensure timeliness and accuracy of reports to regulatory agencies;

7. Review reporting requirements and request changes to internal reporting format;

8. Coordinate regulatory examinations on internal and external audits. Plan, prepare documents and financial data requested by examiners or auditors;

9. Maintain record and files of all regulatory examination, internal and external audits and all related correspondents.

10. Conduct periodic testing of adherence to policies and operating procedures;

11. Coordinate and follow up of corrective action on regulatory examination and auditors’ finding;

12. Propose recommendations to correct or strengthen systems deficiencies or exceptions, whenever applicable;

13. Be responsible for monitoring Anti-Money Laundering area of Branch

14. Performs other duties assigned by the Compliance Officer/Compliance Manager

Qualifications

− Bachelor degree in Law, Auditing, Banking and Finance;

− Have 2-3 years experienced in compliance, AML, Audit area.

− Good skills in understanding and briefing the related law and regulations;

− Good command in English (speaking, listening, reading, especially in writing);

− Sense of accountability, proactive and prudent attitudes.

***NOTE: Only shortlisted candidates will be contacted