7 Compliance Head jobs in Thailand

Prudential's purpose is to help people get the most out of life. We will deliver our purpose by creating a culture in which diversity is celebrated and inclusion assured, for our colleagues, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and in exchange, we support our people's career ambitions. We pledge to make Prudential a place where you can Connect, Grow and Succeed.

Role responsibilities:

- Ensure compliance with all regulatory and statutory requirements that relate to risk management as set up by local regulatory supervisory bodies i.e. OIC, SEC
- Ensure compliance with the Group Risk Framework and its components and escalation of risk management issues to management, Risk Committee and its sub-committees, where required
- Facilitate the identification and assessment of Risks within PLT via the RCSA workshop. Assist in follow up report and documentation
- Monitor day to day risks and coordinates with other Department Heads and Risk Coordinators
- Maintain and update the Quarterly Key Risk reports, Control Plan and Incident Report
- Provide assistance to Operational Risk team on matters relating to oversight across all risks

Qualifications:

- Bachelor’s degree in Business Administration or Risk Management.
- Proficient in Microsoft Office Application.
- Minimum 3 years of experience in relevant area preferably in Life Insurance Business
- Knowledge of Risk Management and Insurance Industry
- Can work independently while goal and team oriented

Key Attributes:

- Fluent in English, both written and verbal
- Excellent communication and interpersonal skills
- Strong analytical and logical thinking skills with good attention to detail

**Responsibilities**:

- Main responsibility is to handle and analyze information of bank incidents including fraud, misconduct, and mis-selling and generate the dashboard and report both for internal usage in the department and for presenting to the bank’s committee, executives, and other relevant value chain businesses.

**Main responsibilities**:

- Proactively gather and analyze information of fraud, misconduct, mis-selling, and other significant incidents
- In depth analyze in term of fraud pattern to create action plan to prevent fraud or other operational risk
- Track and monitor incident by come up with effective database and reports which can help support to manage the business
- Take initiative in develop the useful report for management decision
- Provide dashboard on fraud, misconduct, mis-selling and other significant incidents to relevant committees and executives
- Coordinate with the other Corporate Operational Risk Management functions and other business units e.g. Legal, BORMs, Compliance to gather the needed information
- Manage special assignments (if any)
- **Qualifications**:

- Master’s degrees or bachelor’s degree Major in any related fields
- Experience 3-5 years in Lending Products and Banking Business
- Able to use quantitative tools statistical modelling techniques, and data mining
- Proficient in SAS software, Advance Excel, Power BI, Power Point
- Strong analytic skills and systematic thinking
- Presentation and communication skill
- Positive attitude and Open mind
- Details and results oriented
- Initiatives and self-motivated, adapt to change and new things

**Location : HQ / **27A**

**For more information**:

Google will be prioritizing applicants who have valid working rights in Thailand and do not require Google's sponsorship of a visa.
**Minimum qualifications:**
+ Bachelor's degree or equivalent practical experience.
+ 5 years of experience in managing, sourcing, or procuring business resources and vendors.
+ 5 years of experience in co-ordinating or managing resources for data center locations, and leading operational or project based work and tasks.
**Preferred qualifications:**
+ Master's degree or equivalent practical experience.
+ Experience in managing workforce.
+ Experience with Google application.
+ Knowledge of physical security, investigations, compliance, or risk management.
+ Knowledge of security technology including access control and CCTV.
Security is at the core of Google's design and development process: it is built into the DNA of our products. The same is true of our offices. You're an expert who shares our seriousness about security and our commitment to confidentiality. You'll collaborate with our Facilities Management team to create innovative security strategies, investigate breaches and create risk assessment plans for the future. You believe that providing effective security doesn't come at the expense of customer service - you will be our bodyguard (and our long lost pal).
As a Data Center Security Manager, you will lead projects with minimal guidance, leveraging your expertise in security technology, data analysis and visualization to drive team efforts. You will collaborate across teams, propose creative solutions and uphold Google's cultural values while contributing to a positive work environment. You will ensure security integrity, investigate breaches and implement effective solutions to safeguard our infrastructure.
Behind everything our users see online is the architecture built by the Technical Infrastructure team to keep it running. From developing and maintaining our data centers to building the next generation of Google platforms, we make Google's product portfolio possible. We're proud to be our engineers' engineers and love voiding warranties by taking things apart so we can rebuild them. We keep our networks up and running, ensuring our users have the best and fastest experience possible.
**Responsibilities:**
+ Oversee compliance, security and risk management programs for the data center campus including incident management, guard agreements and physical security issues.
+ Provide after hours on-call support and serve as the primary contact for emergencies, event response and crisis management.
+ Conduct investigations into code of conduct violations, workplace injuries and security incidents, as well as Threat, Vulnerability and Risk Assessments (TVRA).
+ Enforce compliance processes in alignment with Compliance, Safety, and Risk Management (CSRM) policies, standards and regulatory requirements.
+ Manage security-related budgets, forecasts and invoice control for the assigned campus while supporting financial analysis and decision-making for security requirements.
Google is proud to be an equal opportunity workplace and is an affirmative action employer. We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity or Veteran status. We also consider qualified applicants regardless of criminal histories, consistent with legal requirements. See also and If you have a need that requires accommodation, please let us know by completing our Accommodations for Applicants form:

การเงิน/การธนาคาร/หลักทรัพย์

วันนี้
- คุณสมบัติพื้นฐาน
- งานประจำ- 2 - 5 ปี- กทม. (สาทร)- ปริญญาตรีหรือสูงกว่า- สามารถเจรจาต่อรองได้- หน้าที่และความรับผิดชอบ
- Overall:
- The main responsibility is to develop/manage credit risk models to- support for risk decision and risk measurement. Ensure the- appropriateness of credit model usage to support for company- direction and seek for the new opportunity for digital lending. Work- with data engineers within the group to develop alternative credit- scoring by using partnership data.- Roles and Responsibilities:
- 1. Develop and maintain credit risk models to support risk decision- and risk measurement.- 2. Develop and maintain credit risk model management framework- and ensure the credit models comply with regulatory standards- and appropriate for business strategy.- 3. Assist and work closely with business to ensure credit risk models- are appropriate and efficient for business direction and support for- new digital lending risk assessment and platform.- 4. Ensure all credit models are qualified to be used through model- life cycle. Regularly perform model monitoring, model assessment- and propose proactive action/ recommendation to improve the- model.- 5. Assist and design for business opportunity to develop alternative- credit score from partnership data.- 6. Collaborate with IT and data engineer to ensure data availability- and quality from various source to develop an efficient model.- 7. Establish and maintain the standards/guidelines for credit risk- model development and monitoring. Ensure the models are- compliant with all related regulation requirement.- คุณสมบัติ
- o Bachelor’s/Master’s or higher degree in Mathematics, Statistics,- Engineer, Data scientist or any related fields.- o At least 2-5 years experiences credit Risk modeling/ scoring in- retail banking, consumer finance or any financial business.- o Strong knowledge and skill in machine learning, credit scoring,- data analytics using R/ Python, SAS and SQL.- o Analytical mindset with excellent critical thinking ability and data- analytics skills.- o Excellent computer skills and programming tools.- o Good command in both written and spoken English.- o Prior experience in a digital leading or fin-tech start-up is a plusดูคุณสมบัติเพิ่มเติม
- สวัสดิการ
- Dental insurance (สิทธิการเบิกค่าทันตกรรม)
- กองทุนสำรองเลี้ยงชีพ
- การฝึกอบรมและพัฒนาพนักงาน
- ค่ายินดีมงคลสมรส
- ค่าใช้จ่ายในการเดินทาง
- ทำงานสัปดาห์ละ 5 วัน
- ประกันสังคม
- ประกันสุขภาพ
- ประกันอุบัติเหตุ
- ลาบวช
- เครื่องแบบพนักงาน, ชุดยูนิฟอร์ม
- เงินช่วยเหลือฌาปนกิจ
- เที่ยวประจำปี หรือเลี้ยงประจำปี
- โบนัสตามผลงาน/ผลประกอบการ

ดูสวัสดิการเพิ่มเติม

**Everyday**

**Legal**
- Provide accurate and timely counsel to executives on legal-related matters which include but not limited to partnerships, international ventures, corporate finance, etc.
- Collaborate with the Management to devise efficient defense strategies
- Review and monitor incoming and outgoing arbitration, court and complaints escalated from regulator(s) if any, and enforce SOP for file allocation to internal and external counsels while optimizing cost
- Ensure that there is tracking methodology and inventory of files updates with status and relevant details
- Draft and solidify agreements, contracts and other legal documents to ensure Company’s full legal rights are well protected
- Deal with complex legal-related matters with multiple stakeholders
- Provide clarification on legal language or specifications to internal stakeholders
- Conduct your work with integrity and responsibility
- Maintain current knowledge of alterations in legislation

**Compliance**
- Monitoring newly enacted legislation, regulations, regulatory guidance and conditions related to company business including but not limited to insurance and data privacy laws and regulations
- Monitoring and evaluating the performance of the company with regards to compliance with relevant laws, regulations and corresponding conditions
- Reviewing and monitoring company work procedures for every department
- Setting and updating internal checklist of regulatory reports required to be filed within timelines.
- Advising and reviewing internal regulations and practice to conform with related executed laws
- Liaising with the Office of Insurance Commission (OIC), Anti Money Laundering Office (AMLO), and any other supervisory regulators.
- Specify internal governance policies and regularly monitor its compliance
- Liaise and build rapport with external stakeholders i.e. regulators, external counsel, public authority, etc.

**Your will need to**
- Bachelor or Master in Law degree holder
- At least 5 years legal/compliance experience in insurance (preferred), financial industry or law firm
- Ability to confront conflict and difficult issues in a professional, assertive and proactive manner
- Ability to communicate in English language (writing and speaking)
- Display personal qualities of integrity, credibility and strong work ethic
- Strong in leadership and has ability to work effectively in a team and multi-cultural environment
- Analytical, attention to details, and creative problem solving abilities

Thailand
- Compliance
- Group Functions

**Job Reference #**
- 292616BR

**City**
- Bangkok

**Job Type**
- Full Time

**Your role**
- Do you have experience in providing compliance or risk advisory services to a business division? Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it comes to speaking up for what is right and challenging at all levels?
- We are looking for a Head of IB compliance and operational risk, Thailand to:
- ensure relevant compliance and operational risk frameworks, taxonomies, applicable laws and regulations and best practice standards are actively and appropriately managed and complied with by the Thailand Global Markets and Global Banking businesses.
- work with the broader South Asia and APAC Global Markets C&ORC team to provide the Thailand Global Markets and Global Banking businesses with controls, tools, training, frameworks, information and insight required to perform their risk management and supervisory responsibilities.
- proactively drive the identification, assessment, measurement, mitigation and monitoring of compliance and operational risk as it pertains to the Thailand Global Markets and Global Banking businesses
- deliver independent risk assessment and reports that shed light on our risk profile
- review business marketing materials
- ensure adherence to regulations, guidelines and policies issued by the relevant financial regulators, exchanges, clearing houses as well as regulatory developments in other jurisdictions across APAC as well as globally relevant regulations that impact the Global Markets and Global Banking businesses
- help disseminate relevant rules, procedures and controls and developing and delivering compliance and operational risk training programs.
- participate in reviewing new business initiatives and transactions requiring pre-approval
- close liaison with counterparts in the other APAC hubs and offices
- support the business in remaining compliant within the regulatory environment and managing their risk
- ensure risk frameworks are designed well and operating effectively

**Your team**
- You will be the Country Lead for Business-Aligned Compliance and Operational Risk Control (C&ORC) in Thailand, which is part of the broader ASEAN C&ORC team. We support the IB business by partnering with them to effectively manage regulatory risk in an environment of collaboration and constructive challenge. Our duties include implementing the Operational Risk Framework and to ensure regulatory and operational risks are identified, properly assessed and recorded. You'll play an important role in helping us develop risk mitigating measures, controls and adequate remediation plans are in place. You'll also collaborate with global colleagues to ensure that best practices are being shared around the region/globe.

**Your expertise**
- proven financial services compliance or risk advisory experience for ideally 7-10 years
- sound know-how in the analysis of business processes in IB
- good working knowledge of the local regulatory environment as it pertains to that of a broker dealer
- sound know-how in the analysis of business processes and a strong understanding of equities products
- ability to verify aspects of commercial and operational arrangements within the business and challenge documentation with an independent mindset
- reliable, resilient and able to work on your own
- fluent in written and spoken English besides Thai (additional languages are a plus of course)

**About us**
- UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.
- We have a presence in all major financial centers in more than 50 countries.

**Join us**
- At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
- From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?

**Contact Details**
- UBS Business Solutions SA
- UBS Recruiting

**Disclaimer / Policy Statements**
- UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.