215 Compliance Consultant jobs in Thailand

KPMG Thailand's tax practice helps businesses and individuals to reduce their tax burden while meeting the highest standards of compliance.

Effective tax management is about managing tax risk while optimizing tax affairs in a sustainable environment. KPMG's Global Compliance Management Services is a global network through which we deploy our people, processes and technology to help our clients with their worldwide tax compliance obligations, providing them with the information they require to take vital commercial decisions promptly

• Prepare tax returns, equalization calculations and other miscellaneous forms for our clientand its employees
• Review and analyze compensation information for proper tax compliance
• Work with clients to develop tax efficient solutions, which address their business needs
• Participate in business development activities and gain new work from existing clients
• Regularly expand technical and professional knowledge and keep up to date with the latestlaw & regulations including changing in the marketplace.

• Bachelors or Masters in the domain of Accounting or Tax.
• 2-5 years of related or similar work experience in Corporate Income Tax (PND 50/ PND 51)
• Ability to analyze basic tax and accounting information.
• Degree holder with a professional qualification, preferable in a numerical subject.
• Fluency in English both speaking and writing.
• Good Team player and excellent client relationship skills.
• Well-organized with ability to meet multiple deadlines and work under pressure.

Position: IT Compliance Consultant (Junior)

Key Responsibilities:

1. Assist in analyzing and designing business processes related to IT compliance and governance.

2. Create Playbooks and SOPs for processes related to Security Operations Center (SOC) and security monitoring.

3. Participate in the design and execution of Tabletop Exercises and Cyber Drills to evaluate incident response readiness.

4. Collect Data Inventory from customers to analyze and design rulesets for defining data protection policies on DLP devices.

5. Collaborate with teams to implement standards such as ISO27001 and ISO2000 to enhance the effectiveness of control systems.

6. Prepare necessary reports and documents for auditing and evaluating compliance with standards.

7. Provide consultancy and support to customers in complying with relevant standards and regulations.

Qualifications:

1. Bachelor's degree in a related field such as Computer Science, Information Technology, or a related discipline.

2. Basic knowledge of IT compliance and standards such as ISO27001, ISO2000, NIST Framework, Cybersecurity Act.

3. Basic knowledge of Cybersecurity and networks, including SIEM, SOAR, firewall, DLP, and related technologies.

4. Skills in preparing technical documentation and reports.

5. Ability to collaborate with teams and communicate effectively.

6. Strong proficiency in MS Word, Excel, Visio, and PowerPoint.

7. Experience in Compliance or Security-related roles will be considered a plus.

8. Project Management skills to efficiently manage and coordinate tasks with Customers.

9. Understanding of using AI or ChatGPT for command prompt input to improve speed and accuracy in technical tasks.

Salary: Negotiable based on experience and qualifications.

Job Responsibilities

• Provide consultation on contractual logistic agreements
• Manage, monitor & supervise appropriate applications of logistic activities on hazardous & non-hazardous substances.
• Reviews and/or audits to ensure that compliance procedures are followed as per the company quality management system (QMS) and environmental management system (EMS) under ISO9001, ISO14001, OHSAS18001 including other quality standards.
• Act as the appointed Quality Management Representative (QMR) of the company.
• Maintain TAPA certification, make regular internal audits and initiate changes if required; implement TAPA in locations.
• Ensure compliance with governmental security initiative/ regulations.
• Conduct or jointly conduct investigations on both internal and external compliance issues.
• Assess tasks, compliance, or operational risks and exercise risk management strategies.
• Conduct environmental audits to ensure adherence to Occupational Health and Environmental standards as per the country legislations.
• Identify compliance issues that require follow-up or investigation.
• Disseminate written policies and procedures related to compliance activities.
• File appropriate compliance reports with regulatory agencies.
• Evaluate testing procedures to meet the specifications of environmental monitoring programs.
• Supervise and monitor all known and newly arising key risks that could lead to substantial
• losses.
• Systematically identify, record, analyze, evaluate and find optimum means/options to mitigate or transfer risks.
• Coordinate formation of contingency, business continuity and emergency response plans.
• Keep management closely informed and prepare periodical regional office risk management system reports.
• Ensure that risk management systems are implemented effectively and followed in all departments.
• Develop and maintain company's safety and security policy.
• Establish, implement, maintain and audit effective security regulations and procedures to protect the security of personnel and properties of the company as well as 3rd parties whilst they are under the care of the company.
• Review subcontractors' practices and identify areas for improvements in cargo handling, loss/damage and security.

Job Requirements

• Ability to collaborate cross-functionally to identify, resolve and improve on EHS/Compliance matters.
• Possess roughly 5-year's experience in local environmental and safety regulations, including associated topics revolving around compliance and legislations.
• Independent but able to be a team-player with strong ability working in cross-border/functional projects.

Location:
Bangkok, Thailand

Rank:
All levels

Job Description
KPMG Governance, Risk & Compliance (GRC) Services is part of Financial Services Advisory specializing in helping our clients improve the internal controls, risk management, governance, and compliance of their operations. We work with internal audit directors and audit committees to develop a quality internal audit function that delivers strategic business assurance, identifies business opportunities, and enhances organizational value. The scope of GRC functions are Enterprise Risk Management, Internal Audit services, Quality Assessment Review, Credit Review and Compliance Services.

Responsibilities
We are looking for an ambitious data analyst to work with our experienced insurance and banking focused professionals and focusing on the below:

• Work with the team in analyzing design of operational processes and control including testing effectiveness of control to identify ineffectiveness control in business processes as a part of internal audit engagement or review internal audit function as part of Quality Assessment Review engagement
• Support the team in assessing compliance of the company against BoT, OIC, SEC or AMLO's requirement to identify gap and provide recommendations as a part of compliance engagement
• Help the team in analyzing design of Enterprise Risk Management framework including testing effectiveness of control to identify gap and provide recommendations as a part of Risk management engagement
• Help the team in analyzing credit review of financial institutions to identify gap and provide recommendations as a part of credit review engagement

Qualifications

• At least 1 – 2 years (Associate), 3 – 4 years (Senior) related experience with a banking or insurance focus.
• Understand accounting knowledge demonstrated by high academic achievement in accounting subjects.
• Experienced in internal control/ compliance/ risk management will be given special consideration
• Strong business awareness and an ability to identify audit issues from commercial transactions.
• Ability to quickly adapt to new situations and solve problems, exercise good judgement, and demonstrate professionalism
• Strong sense of client services, good communication skills and a sense of teamwork.
• Excellent verbal and Written communication skills in English

ด้านกฎหมาย

•    รวบรวมกฎหมายที่เกี่ยวข้องกับธุรกิจประกันชีวิตที่มีผลบังคับใช้ในปัจจุบันและทำความเข้าใจในเนื้อหาและสาระสำคัญเพื่อสื่อสารให้ฝ่ายต่างๆทราบ และนำไปใช้ได้อย่างถูกต้อง

•    จัดทำสัญญาต่างๆ เช่น สัญญาว่าจ้าง , สัญญาค้ำประกัน และสัญญาอื่นๆ ตามที่ได้รับมอบหมาย ตลอดจนหนังสือมอบอำนาจ เป็นต้น

ด้านกำกับดูแล

•    ติดต่อประสานงาน ชี้แจงกับหน่วยงานกำกับดูแลภายนอกบริษัท เช่น คปภ., ปปง. เป็นต้น

•    ส่งเสริม สนับสนุนและให้ความร่วมมือในด้านการให้ความรู้ทางกฎหมาย หรือเอกสาร ตลอดจนการจัดอบรม หรือสัมมนาเกี่ยวกับกฎหมาย

ด้านการกำกับดูแลกิจการ  

•    กำกับดูแลและตรวจสอบให้แน่ใจว่าบริษัทมีนโยบาย ระเบียบ คู่มือการปฏิบัติ วิธีปฏิบัติงานและเอกสารอื่นใด ที่เป็นปัจจุบันและสอดคล้องกับกฎหมายและข้อบังคับของหน่วยงานกำกับดูแลภายนอกที่เกี่ยวข้อง เช่น สำนักงาน คปภ. สำนักงาน ปปง. เป็นต้น

คุณสมบัติ :

•    วุฒิปริญญาตรีขึ้นไป สาขา นิติศาสตร์

•    มีประสบการณ์การทำงานด้านกฎหมาย อย่างน้อย 3  ปี

•    มีประสบการณ์การทำงานในธุรกิจประกัน หรือสถาบันการเงิน จะได้รับพิจารณาเป็นกรณีพิเศษ

•    มีความรู้ด้านกฎหมายที่เกี่ยวข้องกับการประกอบธุรกิจ เช่น คปภ., ปปง. เป็นต้น

•    มีความรู้ในการร่างและจัดทำเอกสารด้านกฎหมายและนิติกรรมสัญญา

•    มีทักษะในการสืบค้นข้อมูล, การเจรจาต่อรอง, การนำเสนอ การร่างและเขียนเอกสารทางกฎหมาย

•    มีความสามารถในการแก้ปัญหาเฉพาะหน้า

For over 30 years, APRIL International has specialised in providing innovative international health insurance solutions. We design, distribute, and manage insurance plans and assistance services for individuals and businesses worldwide. With teams operating across Asia, Europe, and the Americas, we are committed to ensuring our members have access to the best care, no matter where they are.

As part of the APRIL Group, an insurance specialist with 3,000

staff members in

20

countries, we are dedicated to simplifying insurance and delivering exceptional customer experiences.

To sustain the company's growth and expand our services, we are currently looking for a Legal & Compliance Officer– Asia.

As an experienced professional with relevant in-house and law firm experience, you will support our business in the region with all legal and compliance matters. The role is a new position and we are looking for a highly motivated, proactive individual to integrate compliance and legal function into our Regional Finance Team.

The role is based in our Bangkok office. Still, you will be supporting our regional organisation with companies in Hong Kong, Singapore, Thailand, Vietnam and China, and business partnerships in Indonesia, the Philippines, UAE and India.

Principal responsibilities:

• Draft, review and revise legal documents - principally service agreements with providers, customers and distribution intermediaries
• Create standard documents for the use by other departments – such as consent forms and agreements
• Monitor changes in regulations across the region, particularly insurance and data protection regulations
• Research and advise on any insurance regulations applicable to April Asia
• Help the Legal & Compliance function maintain internal policies in accordance with the Group guidelines and local legislative requirements
• Liaise with company secretaries on preparation and submission of statutory documents, board resolutions, AGM/EGM and other governance matters
• Liaise with the Group for any requested information of April Asia such as corporate matters or partnership with insurance companies
• Participate in any internal/external audit as required by April Asia, the Group, as well as partners
• Support other departments day-to-day inquiries where relevant
• Other legal and compliance topics to be assigned by the Legal & Compliance Manager or the Group Legal from time to time

Qualifications & Experience:

• Bachelor degree or higher in law
• Minimum of 1 year of experience in a law firm or corporate legal environment
• Good command of written and spoken English
• Commercially minded and pragmatic
• Experience in working in an international environment and comfortable dealing with multiple jurisdictions is a plus – otherwise being adjust to the international environment is a must.
• Not expected to have a detailed knowledge of all regulations and legal systems in the regional scope but must be willing to research and consult outside sources where necessary. Local knowledge of the country where your degree is obtained is required.
• Be able to multi-task, focus on details, and deliver under pressure
• Knowledge of insurance regulation is desirable but not essential
• All nationalities considered.

By submitting an application you indicate that you have read and accept the terms of the APRIL data privacy notice available at and the Bamboo HR LLC privacy policy available using the link at the bottom of this page.

Responsibilities :

• Day-to-day handling of legal and compliance matters for our group companies, including matters related to capital market transactions and fund operations.
• Conduct or support compliance risk assessments - working with internal functions and management to help identify, assess compliance risks, and develop, report, and monitor mitigation actions.
• Act as reviewer or translator for materials Thai as and when required.
• Organize and maintain all corporate and compliance-related records and files.
• Maintain corporate and compliance review schedule, including follow-up of all items required by regulators for legal or audit purposes.
• Act as backup administrative support for regional offices.
• Assist in drafting and reviewing settlement paperwork, contracts, client agreements, corporate documents, corporate certificates, and other legal documents.
• Research and review judicial precedents, domestic and international laws, rules and regulations, published circulars, journals, and articles.
• Monitor contracts and their legal obligations.
• Assist with taking minutes, drafting, or providing advice on the content of minutes when necessary.
• Assist in reviewing minutes to ensure legal requirements are complied with.
• Liaise with external legal counsel, both domestic and international, on regulatory, transactional, and operational matters.

Qualifications :

• Bachelor's degree or higher in Law
• At least 2-4 years of relevant experience preferably in financial institutions or law firm
• Experience in a financial institution environment is a plus
• The ability to multitask, priorities, organize information and stakeholder management are essential
• The ideal candidate should be proactive, adaptable, and possess strong analytical and decision-making skills
• Thrive in a team-oriented environment and collaborate with various front and back departments
• Ability to work independently with limited supervision

Workplace : Gaysorn Tower

***Only the short listed candidate will be contacted***

Human Resources Department

FST 1 Company Limited (Finansia X Group)

719 Mint Tower, Banthat Thong Road, Wang Mai, Pathum Wan, Bangkok , Thailand

Tel ,

Position Summary:
The Officer position assists in ensuring that the corporate governance, policies, and processes of the GC Group are adhered to by international holding subsidiaries. This role involves developing and supporting compliance programs, monitoring operations, and providing guidance on compliance and administrative issues. The position requires collaboration with internal audit teams and managing corporate secretarial work to support the Board of Directors.

Key Responsibilities:

• Ensure that corporate-related formalities for international holding subsidiaries are met as required by local law and regulatory, the corporate governance, policies, and processes of the GC Group.
• Develop compliance programs and roadmaps for international holding subsidiaries.
• Provide advice and guidance to international operating subsidiaries in developing their compliance programs.
• Assist in monitoring and reviewing processes and operations performed by international subsidiaries and JVs to ensure alignment with policies, laws, and regulations in investment regions/businesses.
• Provide guidance on international compliance and administration issues that require analysis of operational and human dimensions.
• Offer effective and proper compliance advice or recommendations to resolve any compliance issues.
• Collaborate, coordinate, and arrange for internal audits of international subsidiaries.
• Review and monitor audit results, report to the subsidiaries' Board, and make recommendations for changes to compliance practices as needed.
• Assist in managing corporate secretarial work to effectively support decisions made by the Board of Directors of international holding subsidiaries.
• Ensure that all important legal documents, including those requiring registration and filing, are properly maintained and kept in compliance with regulations.

Qualifications:

• A bachelor's degree in Law, Business Administration, or a related field.
• 2+ year experience with corporate governance and compliance practices.
• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills.
• Attention to detail and ability to handle multiple tasks.
• Fluent in English with the ability to listen, speak, read, and write; TOEIC score of 800 or above is preferred.
• Basic understanding of international business and regulatory environments is a plus.

Position Description

The incumbent will have a direct reporting line to Head of Compliance, Thailand and will have given Thailand and broad South East compliance mandate (excluding Singapore) which extends to a number of licensed entities in South East Asia and multiple business lines, including but not limited to, institutional cash equities sales and trading, ECM and DCM businesses.

Given the broad mandate of this role, it is expected for the incumbent to demonstrate and develop well-rounded Compliance knowledge and be well-versed in a broad spectrum of Compliance skills, and not be restricted to specialized Compliance roles.

Key Areas of Responsibilities

The incumbent will primarily assist Head of Compliance, Thailand and on secondary basis, assist on the wider South East Asia compliance team (excluding Singapore):

Compliance Monitoring and Surveillance

• Maintaining and executing the ongoing compliance monitoring programme, which includes, amongst others:
• Trade surveillance by analyzing trade data and via the use of SMARTS Broker trade surveillance tool;
• Monitoring of staff dealing activity and compliance with staff dealing policy;
• Monitoring of staff outside directorships, business interests and activities;
• Monitoring of gift and entertainment of staff;
• Monitoring of fly-in-fly-out activities of licensed staff;
• Conducting compliance desk reviews/thematic reviews, as may be required, based on emerging risks or new regulatory requirements;

Central Compliance

• Assist in the licensing and registration process for new front office staff.
• Monitoring and following up with existing representatives on their continuing obligations, amongst others, changes in personal particulars and business interests, continuing education program and register of securities.
• Liaising with relevant internal stakeholders to complete surveys/forms/questionnaires/ requested by regulators.
• Assist in the preparation of periodic and ad-hoc regulatory reporting to the regulators.
• Assist to ensure that all compliance correspondences/records and registers are duly tracked and maintained.
• Assist to conduct compliance induction trainings for all new staff and other basic training.
• Ensuring that staff completes all mandatory compliance trainings and declarations.
• Assisting with compliance reporting to local and group management.

Compliance Advisory

• Assist the Head of Compliance, Thailand responding to simple internal queries, for example, those relating to licensing requirements or group compliance policies/procedures such as staff dealing, outside business interests, and gift and entertainment, etc, track regulatory change, assisting in external/internal audit, review and revise local compliance policies and any other required ad –hoc tasks as required.

Requirements

• Bachelor's Degree or above in Law, Accounting or related discipline.
• Minimum 1-3 years' of Compliance/audit/regulatory experience in the financial services sector are preferred.
• Excellent analytical skills and quick logical thinking ability.
• Strong interpersonal skills.
• Excellent command in both spoken and written English.
• Strong attention to detail.
• Able to operate independently and to multi-task effectively.
• Proficient in Microsoft Office Applications for both data collection and interpretation of the results that can presented clearly and concisely.
• Reasonable understanding of Compliance role and risk-based Compliance approach, and ability to identify and remediate key Compliance risks.
• Basic knowledge of securities laws, including regulations related to securities brokerage businesses.
• Knowledge or experience in specific areas such as securities laws, Anti-Money Laundering (AML) and Countering the Financing of Terrorism (CFT) regulations, or other relevant legal frameworks is considered a plus.