Head of Wealth Management Compliance Thailand

April 5, 2023

Head of Wealth Management Compliance Thailand

ReferenceCOM002581

  • Standard / Permanent
  • TH-10-Bangkok
  • COMPLIANCE
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  • 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
    • in line with any applicable Group and WM internal policies & procedures
  • The WM Compliance Officer is responsible of leading, managing and organizing the Compliance function within his/her Business Line (at the territory level), in close cooperation with local/Regional Domains and the Compliance COO APAC
  • He/she is 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 decentralisation
    • Specialization of expertise
    • Accountability: Compliance is everyone's duty
    • Dialog: Compliance as a Business partner
    • Adequate training program
  • He/she is directly in charge of Financial Security, Know Your Customer, Protection of Clients’ Interests, Market Integrity, Professional Ethics, Securities/Banking Regulations for WM Thailand

Technical skills

  • 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, clients…)

Soft skills

  • Integrity
  • Accuracy
  • Directing in a positive way
  • Self-confidence
  • Ability to learn (curiosity)
  • Client focus
  • Vision
  • Decision-making skills
  • Impact
  • Acting with perspective
  • Developing others