Key responsibilities:
Regulatory Compliance Work
- Assist in the development of compliance initiatives and programs to comply with the respective regulatory obligations.
- Identify and inform of any changes of legislation and other regulatory requirements
- Provide assistance in preparing for impending regulatory changes or revisions
- Provide advisory services on escalated issues related to compliance topics to Business units, etc
- Ensure detailed and prompt investigation of all compliance incidents and cases
- Maintain a proper register of all incidents reported internally and externally
- Develop and execute face-to-face training for management and staffs in various business units as required
- Assist in general compliance awareness and refresher training.
Compliance Monitoring/ Control Testing
- Support for Planning Compliance Control Testing reviews.
- Assist in Compliance Monitoring framework
- Conducting Compliance Control Testing reviews and prepare reports on the result of review to the relevant control owners and Senior Management for comment and action plan input
- To monitor progress against the management action plan.
- Support to conduct an annual compliance risk assessment with relevant risk owners to identify and assess their risks including the corrective/mitigation measures/ mitigation plan to mitigate risk.
- Support to prepare relevant compliance reporting e.g. annual & semi-annual (H1/H2) compliance reporting to AMO/ Group compliance.
Conduct and Customer Protection work
- Support Manager to oversight and coordination with relevant business teams in ensuring that the Company have Conduct framework in place that is consistent with the Group Conduct framework (Group Conduct Advisories)
- Support advice relevant business teams and risk management to establish a set of Conduct Indicators (KPIs), mapped against the three building blocks of the Group Conduct framework, with associated tolerance level.
- Support Monitor and ensure that Material Conduct issues identified by the Company has been escalated to Group Compliance, and, as appropriate, to Group Risk Management or Group Human Resource
Qualifications & Experience
- Bachelor's or Master's Degree in law or related fields
- Experiences in financial or insurance industries
- 3-5 years in compliance role is preferable
- Prefer skill might include experiences in internal/ external audit
- Good command in English
We offer excellent career prospects and attractive remuneration package to the right candidates. All application will be treated in the strictest confidential.
AXA is an equal opportunity employer and encourages individuals with disabilities to apply.
Interested applicants please send application with recent photo and expected remuneration to: recruitment@axa.co.th.
By submitting your CV to AXA, you acknowledge and agree on all the information set forth in the AXA Privacy Policy which can be found at https://www.axa.co.th/en/privacy-candidate-statement
Come and join our happy family!
