Law and Regulatory Compliance - Private Client

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.

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

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