Not specifiedAt least 5 years of combined working experience in compliance function including asset management company, securities company, bank or regulatory/advisory function in an audit or legal firm, or regulatory/compliance advisory function in a consulting firm or fintech company.
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Listing record updated: October 23, 2026. We archive records after 60 days without an update. This date does not confirm that the employer is still hiring.
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This role sits within the Legal/Compliance/Audit function at Kiatnakin Phatra Bank Public Company Limited (KKPFG), with a focus on the asset management business (KKPAM). The position supports the Head of Compliance in developing and implementing a regulatory framework across second-line compliance responsibilities, ensuring the company meets its regulatory and license obligations.
Key duties include acting as the primary liaison with the Securities and Exchange Commission (SEC), providing regulatory advice to business units, monitoring regulatory changes, and delivering ongoing compliance advisory. The role also handles tasks, projects, and reviews as required, reporting to the Board of Directors, Audit Committee, and other relevant committees.
Responsibilities
Support Head of Compliance to develop and implement a regulatory framework across second-line compliance responsibilities
Act as the key liaison officer between the company and the Securities and Exchange Commission (SEC)
Provide regulatory advice and recommendations to business units
Keep updated on regulatory changes and disseminate to business units
Provide ongoing compliance and regulatory advisory, including on existing and new SEC requirements
Requirements
At least 5 years of combined working experience in compliance, asset management, securities, banking, audit, legal, consulting, or fintech
Degree in Law, Finance, Accounting, Economics, Business Administration, or closely related field
Previous experience in SEC regulations and related regulations
Good knowledge of Asset Management business
Strong analytical, problem-solving skills, attention to detail, and ability for regulatory advocacy; effective communication in English and Thai
Nice to have
Strong knowledge of Securities business process or Asset Management business process will be specially considered
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