Compliance Officer, Compliance
CLSA(5 months ago)
About this role
A Compliance professional reporting to the Head of Compliance, Thailand with a mandate covering Thailand and broader Southeast Asia (excluding Singapore) across multiple licensed entities and business lines including institutional cash equities, ECM and DCM. The role is intended to develop well-rounded compliance expertise across a broad spectrum of compliance areas rather than a narrow specialization. The position sits within a regional compliance function supporting regulatory and governance activities across the firm.
Required Skills
- Trade Surveillance
- Staff Monitoring
- Desk Reviews
- Licensing Support
- Regulatory Reporting
- Compliance Training
- Risk Assessment
- Anti-Money Laundering
- Securities Law
- Microsoft Office
Qualifications
- Bachelor's Degree in Law, Accounting or Related Discipline
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