366 Compliance Trainee jobs in Thailand

Location:

Thailand

Department: Legal

Location: Thailand

Job Description

Based in Thailand, Compliance Officer will be responsible for ensuring Hellopay/Lazada complies with Thailand financial regulations and AGH group requirements, including among others:

• Financial regulatory licences as well as Foreign Business Licence, set up policies and process and establish regulatory engagement SOPs (i.e. reporting, inspections and investigations)
• Manage compliance within increasingly complex regulations of e-payments in Thailand
• Compliance with mandatory reporting requirements to Bank of Thailand and MOC
• Working closely with Legal Counsels, Data Privacy Officer and other business team to support the business operations and business growth
• Incident management (e.g. responding to regulatory investigations / inspections by authorities / assisting in PR incident responses)
• Oversight on payments related matters

This officer will also cover:

• Localizing and implementing Group-wide policies, procedures and guidelines
• Localizing and implementing Group-wide compliance programmes and necessary trainings to internal stakeholders
• Compliance with regulatory requirements related to (among others) competition & trust, AML-CTF, consumer protection and data protection
• Privacy impact assessments

Job Requirements

• Qualified Thai lawyer, with minimum of 8-10 years PQE
• Extensive experience in interacting with regulators, particularly with Bank of Thailand, Ministry of Finance and Anti-Money Laundering Office
• Ideal candidate would have a mixed of (i) prior in-house experience in the payments sector (preferably a licensed e-money / wallet operator in Thailand) and (ii) private practice experience in top-tier law firms
• Demonstrable track-record in compliance matters
• Fluent in English

Job Description

·    Giving advice to functional units in the Bank on matters regarding compliance with laws and regulations of the BOT and related supervisory authorities

·    Providing employees with training on laws and regulations of the BOT and related supervisory authorities

·    Communicating to relevant employees / functional units matters regarding laws and regulations or tendency of changes in laws and regulations of the BOT and related supervisory authorities.

·    Monitoring operations to ensure compliance with laws and regulations of the BOT and related supervisory authorities.

·    Coordinating and submitting regulatory reports to the BOT and related supervisory authorities

·    Following up on audit issues of the BOT and relevant regulators and reporting to the committees on regular basis

Qualifications

• Bachelor's degree or higher in Law, Business Administration, Finance, Economics, or related field.
• Minimum 10 years of experience in compliance, legal, risk management, or related functions within the banking or financial industry.
• Strong knowledge of the Bank of Thailand (BOT) regulations and other supervisory requirements.
• Experience in regulatory reporting and dealing with supervisory authorities is an advantage.
• Excellent analytical and problem-solving skills with strong attention to detail.
• Good communication and presentation skills, with the ability to advise and train employees at all levels.
• Proficiency in both Thai and English (written and spoken).
• High level of integrity, accountability, and ability to work independently as well as collaboratively.

**Only shortlisted candidates will be contacted**

Applicants can read the Personal Data Protection Announcement of the Bank's Human Resources Function by typing the link from the image that stated below. :

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: Remark: The bank needs to and will have a process for verifying personal information related to the criminal history of applicants before they are considered for employment with the bank.

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Talent Acquisition Department

Bank of Ayudhya Public Company Limited

1222 Rama III Rd., Bangpongpang, Yannawa, Bangkok 10120

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.

Scope of the role: (สรุปขอบเขตงาน)

• 1-3years or experience in Compliance of roles in financial institutions or regulatory authorities.
• Processing knowledge in BOT laws, rules and regulations and understanding.
• Compliance risk as well as control processes of knowledge on FX Product, relevant risks and exchange control regulations would be a plus.
• Review or participate in special project audits as assigned.
• Perform audit tasks by using Data Analytics to assist in auditing.

Education: (ระดับการศึกษา)

Bachelor's or Master's degree in accounting, finance, banking, information technology or related field).

Specialized Knowledge & Skills: (ความรู้และทักษะเฉพาะ)

• Strong knowledge of the relevant Bank of Thailand regulations.
• Excellent project management skills.
• Good communication in both Thai and English (Both writing and speaking).
• Good communication and interpersonal skill.
• Highly responsible, mature and team work.
• Strong analytical and problem-solving skills.
• Proficient in Microsoft Office, data visualization and data analytics tools.

"การพิจารณารับท่านเข้าทำงาน ธนาคารมีความจำเป็นต้องเก็บรวบรวมข้อมูลส่วนบุคคลเกี่ยวกับประวัติอาชญากรรมของท่าน เพื่อวัตถุประสงค์ในการตรวจสอบคุณสมบัติหรือลักษณะต้องห้ามรวมถึงพิจารณาความเหมาะสมของท่านในการเข้าทำงาน"

At ICBC (Thai) Leasing Company Limited (Head Office), we are seeking a dedicated and experienced Internal Audit and Compliance professional to join our team. This full-time role will be based in Bangkok, offering the opportunity to play a crucial part in ensuring the company's adherence to regulatory requirements and internal policies.

Responsibilities:

• Act as a focal point for compliance related matters in term of regulatory impact assessment for new or changed regulations into practical solutions.
• Follow up action taken from impacted units for the changed regulations
• Review operating procedures and policies
• Conduct compliance testing
• Provide compliance training on regulations to staff
• Submit reports to regulators such as BOT, AML on timely manner.
• Prepare compliance reports and carry out ad-hoc projects/ task assigned

Qualifications:

• Bachelor's degree or higher in Business Administration, Legal, Accounting, Finance or any related fields
• Experience in Compliance or Internal Audit from financial institutions at least 3 years would be a plus
• Observant, eager to learn and interested in self-improvement
• Strong skill in problem solving, coordination, communication, and decision making
• Being dedicate and careful
• Good computer literacy
• Proficiency in English, especially in written communication

Join Mekha V as Our Compliance

Mekha V, a subsidiary of PTT, is redefining the future of technology. As we continue to grow as PTT's flagship company in AI and robotics, we are seeking a Compliance to support our ambitious goals and expanding operations.

As the Compliance, you will play a pivotal role in shaping and executing our legal and compliance strategies. You will ensure that Mekha V not only meets but exceeds regulatory standards, while fostering a culture of integrity and transparency across the organization. Your leadership will directly influence the company's compliance efforts and ensure that we operate with the highest legal and ethical standards.

Key Responsibilities:

• Leadership & Strategy: Lead and drive legal and compliance efforts, ensuring alignment with Mekha V's mission and regulatory needs.
• Legal Oversight: Manage and review legal agreements to ensure compliance with relevant laws and protect the company's interests.
• Regulatory Excellence: Ensure compliance with GDPR, PDPA, and other industry best practices, ensuring data privacy and protection policies are in place.
• Risk Management: Identify legal and compliance risks, develop policies, and implement strategies to effectively mitigate them.
• Ethical Culture: Promote the PTT Way of Conduct, ensuring all employees adhere to the highest ethical standards and legal requirements.
• Data Privacy & Security: Serve as the Data Protection Officer (DPO), ensuring secure handling of sensitive information in compliance with data privacy laws.
• Contract & Legal Management: Oversee the review, negotiation, and management of contracts to ensure they are legally sound and protect the company's interests.

Qualifications:

• Bachelor's degree in Law, Business, or a related field. Advanced degrees or certifications in compliance or legal fields are a plus.
• Minimum of 5 years in compliance or legal fields, with a focus on risk management, data protection (GDPR, PDPA), and contract law.
• Expertise in compliance strategy, legal advisory, contract negotiation, and risk management. Strong analytical, leadership, and interpersonal skills.
• Strong command of written and spoken English.

Benefits

• 5 Day-Work / Hybrid Working / Flextime
• Bonus
• Health Insurance, Dental
• Life insurance
• Social security
• Annual Leave

Responsible for ensuring the company's full compliance with all internal and external regulations, including AML/CFT, PDPA, and related laws.

• Establish and update company policies and procedures related to compliance matters.
• Advise all departments to perform their duties in compliance with both internal and external regulations, including AML/CFT and related laws.
• Coordinate with government entities and monitor updates from regulators (e.g., AMLO) and external legal advisors.
• Deliver compliance-related training, develop e-learning modules, and raise awareness across departments.
• Collaborate with regional and head offices to support compliance services for assigned projects, including Anti-Social Element records and ad hoc tasks.
• Oversee company regulations and manage the removal of employee privileges upon resignation.
• Conduct compliance risk assessments and investigations concerning Anti-Competitive Law, Anti-Bribery, Whistle-blowing systems, and Code of Ethics.
• Ensure compliance with PDPA and maintain RoPA (Record of Processing Activities).
• Perform other compliance-related assignments as requested by the superior or head office.

• Age between 27–35 years (male candidates preferred).
• Bachelor's degree in Law, Business Administration, or related field.
• 3–5 years of experience in compliance, preferably within banks, leasing, or financial institutions.
• Strong understanding of compliance frameworks and legal regulations; experience working with regulators such as AMLO.
• Proactive, dependable, and detail-oriented with excellent English communication skills (speaking, reading, writing).
• Strong analytical and problem-solving skills; good teamwork and responsiveness to management feedback.
• Good command of English, able to communicate effectively in both written and spoken forms.

Job brief

The Regulatory Compliance Supervisor is a key role within the Food Safety, Quality & Regulatory (FSQR) team. This position is a hybrid work model (home and Bangkok office), reports to the Regulatory Compliance Manager. Responsible for ensuring the company's products and processes comply with all regional regulatory and client requirements. This involves acting as a technical advisor, providing training, and analyzing compliance trends to proactively guide the business.

Responsibilities

• Regulatory Analysis & Strategy: Monitor and interpret regulatory trends (FDA, USDA, etc.), providing feedback to Product Development and FSQR teams to ensure proactive compliance.
• Documentation Management: Maintain and update critical documents, including product specifications, nutrition labels (NLEA), allergen statements, SOPs, and technical data sheets.
• Stakeholder Education: Educate internal teams on new and changing regulatory requirements that impact the business.
• Quality & Compliance Oversight: Support the review of supplier and manufacturing quality systems, including audits, corrective actions, and non-conformities.
• Issue Escalation & Support: Serve as a supporting role for escalating internal and external compliance-related issues to management and provide technical documentation support to internal teams and manufacturing sites.
• Relationship Building: Actively engage with regulatory bodies to build strong relationships.
• General Support: Provide support to the laboratory team with data management and perform other assigned duties.

Requirements

• A Bachelor of Science degree in Food Science, Nutrition, Regulatory Affairs, or Life Sciences is required.
• Professional certifications such as PCQI, FSVP, or HACCP are a plus.
• 2-4 years of experience in the food, supplement, or cosmetic industry.
• 1-3 years of direct regulatory experience.
• Strong knowledge of FDA regulations and basic knowledge of USDA regulations (especially labelling).
• Knowledge of GFSI standards, HACCP, and third-party audits.
• Experience with CFIA, EFSA, or APAC regulations is a major advantage.
• Proficient in Microsoft Office applications.
• Excellent organizational, time management, and verbal/written communication skills.
• Passionate about a purpose-driven career.
• Comfortable working with ambiguity and able to work independently.
• High attention to detail and able to thrive in a deadline-driven environment.
• Travel: Up to 10% travel is expected.

"Please note, only shortlisted candidates will be contacted for further steps."
*Focal Resource Recruitment Co., Ltd.

Recruitment License No.: 1842/2566*

About TrueMoney

TrueMoney is a leading international fintech brand providing innovative payment and financial services across seven countries in Southeast Asia. With its user-friendly digital platform, extensive agent network, and comprehensive offline and online services, TrueMoney empowers millions of users to make easy, secure payments and enjoy a more convenient financial lifestyle.

Since its establishment, TrueMoney has grown to become the most popular digital financial application in the region, playing a central role in expanding access to financial services and improving quality of life for individuals and MSME communities.

TrueMoney is part of Ascend Money, a regional digital financial services company founded in 2013, which reached a major milestone by becoming Thailand's first fintech unicorn in

Job Description

• Providing guidance on financial service laws and regulations in relation to commercial banking or digital banking business, such as the Bank of Thailand (BOT), Securities and Exchange Commission (SEC) or Office of Insurance Commission (OIC) rules and regulations
• Coordinating and working closely with business units and relevant regulators to ensure that the organization fully complies with relevant laws, rules and regulations
• Communicating timely regulatory requirements to all related parties
• Educating employees on relevant laws, rules and regulations and the impact of non-compliance on the organization
• Assessing, monitoring and reporting of compliance risks regarding Regulatory Compliance
• Developing regulatory compliance procedure and facilitating Business Unit to embed regulatory compliance procedure in Business Unit process
• Maintaining up-to-date Regulatory Compliance policies & procedures
• Developing and maintaining Regulatory Compliance program
• Conducting monitoring and Regulatory Compliance Review to ensure consistent regulatory compliance across the organization
• Recording and escalating the review findings properly and following up with responsible managements to ensure the issues are rectified in a timely manner
• Additional duties as assigned by the Head of Compliance

Qualifications

• Bachelor's degree or higher in any field. Advanced degree preferred
• A minimum of 10 years of relevant experience in compliance, legal, corporate governance or other control-related functions in the financial services firm, regulatory organization. Hands-on experience in retail banking compliance is a plus.
• Experience on financial service laws and regulations in relation to the Bank of Thailand (BOT), Securities and Exchange Commission (SEC) or Office of Insurance Commission (OIC) is preferred.
• Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
• Strong project management skills with the ability to handle multiple tasks at one time
• Adaptive, being a fast learner with strong working ethic and service mind
• Strong communication skills in both Thai and English
• MS Office proficiency