- Identify and monitor legal and compliance issues with respect to all applicable laws, rules, and regulations relating to the company's business consist Company Group of policies, code of practices & standard;
- Manage, oversee and monitor the practice of business-specific compliance, and general compliance, it includes to ensure these Compliance's functions are running well;
- Identify potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues;
- Review product and marketing materials to ensure compliance with SEC, AMLO, FATCA, and governmental authorities;
- Develops, initiates, maintains and revises policies and procedures for the general operation of the Compliance;
- Provide advice on regulatory compliance issues and requirements; including these areas: - New business & product development; Sales & marketing practices; Evaluation of third-party provider of services, systems & product;
- Provide training and educate staff on regulation / new regulation requirements, compliance and internal policy and procedures;
- Build awareness & compliance culture in the Company;
- Implementing and monitoring of the Compliance framework of company regulatory compliance, data protection, professional ethics, market integrity, relationships with the regulators and protection of the customer interest; and
- Set-up and supervise the quality and the consistency of the compliance of the Company.
- Work closely with the management team and people in other functions on any legal- related matters;
- Advice management team on Legal issues of Digital Assets Market and some products in the Financial Market e.g. Bond;
- Handle legal work on any potential legal issues (together with finding a solution in respect thereof), which may be relevant to any new business opportunity;
- Review and draft business contract and/or Agreement of the organization both in Thai and English;
- Arrange for any legal training required from time to time by the business; and
- Work closely with the external legal counsels and another team in handling the pending case and/or legal-related matters.
- Arrange the BOD Meeting, Annual General Meeting (AGM) and other subcommittees meeting including preparing agenda, presentations and taking minutes of meetings or coordinating with minutes recorder;
- Ensure the company complies with the statutory and other regulatory requirements on corporate matters and maintains the communication between the regulatory SEC, AMLO, and governmental authorities;
- Maintain the register of shareholders and monitoring the changes in share ownership of the company; and
- Monitor changes in relevant legislation and the regulatory environment and taking appropriate action.
Qualification & Requirement
- Bachelor's degree or higher in Law or related field;
- At least 5 years of experience in prior Legal and Compliance;
- Good command of verbal and written communication skills in Thai and English;
- Critical thinking and analytical problem-solving skills;
- Good interpersonal skills; people person with good presentation skills;
- Attention to detail and interest in following the latest regulatory changes;
- Experience in Digital Assets Market, Capital Market, and Financial Market will be advantageous;
- High versatile, result oriented, work independently under pressure.