Senior Compliance

Responsibilities

• Research, assess, implement, and manage financial services regulations, laws, and procedures, including consumer protection and public interest laws.
• Support the team to ensure compliance with anti-money laundering (AML) policies and regulations.
• Work closely with front-line staff to oversee compliance procedures and provide guidance on risk management.
• Maintain and implement sound KYC/EDD frameworks and ensure ongoing monitoring and review.
• Ensure that operational processes are sufficient, documented, and implemented, including:
• Fraud monitoring
• Customer due diligence (CDD)
• AML investigation workflows and case management
• KYC/EDD procedures
• Correspondent banking compliance
• Transaction monitoring and suspicious activity reporting
• Review and revise contracts, policies, and internal procedures to ensure compliance with applicable laws and regulations.
• Stay up to date with Thai regulatory requirements, including digital asset laws, financial regulations, and guidelines from the SEC (สำนักงาน ก.ล.ต.).