Objectives of this role / About the job:
Managing and supporting the related compliance management roles and responsibilities, i.e. compliance control, compliance report, compliance monitoring, and etc., including the jobs as assigned.
Responsibilities:
- Develop Compliance Review Plan of each year and conduct the Compliance Review accordingly.
- Update and lead the implementation of new regulations, update of existing processes and build a compliance monitoring program to ensure ongoing compliance (e.g. from SEC,SET, AIMC, AMLO,PDPA, IT Security,and etc.)
- Ensuring compliance with the rules and guidelines of related regulators and the company's internal policies and procedures.
- Continuously review and update procedures/policies to reflect compliance and business requirements.
- Monitor and follow up with responsible units on the rectification plan for the SEC or related regulators findings/observations.
- Provide advice, coordinate and work closely with business units and relevant regulators to make sure that the company fully complies with relevant rules and regulations.
- Prepare and submit Compliance reports that are required by the regulators.
- Provide internal training related to compliance requirements.
- Prepare Compliance related documents and report to related Committee and/or Boards.
- Performing any other duties and responsibilities as requested by the Management.
What We Do
Finnomena is Thailand’s leading all-in-one digital wealth management platform for investors and financial advisors with over 100k investment accounts opened. "Ahead of the Game" Our management team has over 50 years of combined industry experience in global financial institutions like JP Morgan, Krungsri, Citi, CIMB Principal, UOB among others. We utilize our proprietary ML technology and a hybrid robo-advisory model to generate the above market returns and deliver an amazing tech-enabled user experience. We are the only fully integrated digital wealth management platform in the region that provides professionally generated investment content via our own investor’s knowledge hub (with over 30m in monthly views and >1.2m social media followers). We are different in our non-biased advisory approach by representing over 19 asset management companies and counting. Finnomena has achieved significant growth to date and is poised to scale rapidly; we recently raised a $10M Series B from reputed regional and local investors to further build and expand our business. Come join the fastest growing FinTech in Thailand! For more information please visit us at https://www.finnomena.com. Finnomena in News: https://www.techinasia.com/finnomena-bags-10m https://www.businesstimes.com.sg/asean-business/wealth-management-platform-finnomena-franklin-templeton-to-bring-investment-solutions
