Compliance
KGI Securities (Thailand) Public Company LimitedFinancial/Banking/Securities
Today
Full Time
1 - 10 Year
Bangkok (Pathumwan)
Bachelor's Degree or Higher
Depend on qualifications and experience
- Investigate according to the compliance's plan assigned.
- Coordinate in the preparation and delivery of client informations when requested by the authorities such SET SEC Tfex or DSI etc.
- Perform checking relationship between client and staff in the case of same last name. In order to improve staff flag in company 's database.
- Deliver reports within company and related regulators.
- Prepare the E-Mail and deliver within the company to inform the initial IPO 's trading date (IPO: Initial Public Offering) in order to prevent the inappropriate transaction of trading.
- Traning the new staff regarding the criteria for staff dealing rules.
- Consultation about matters that are in responsibility.
- Perform other related duties as assigned.
- In the case of an annual of investigation from SEC or SET or other regulators.
• Bachelor’s degree or higher in Business Administration, Legal, Accounting, Finance or any related fields
• Experience in Compliance from financial institutions would be a plus
• Observant, eager to learn and interested in self-improvement
• Good computer literacy
• Good command of English
- Provident Fund
- Staff training and development
- 5-day work week
- Social security
- Health insurance
- Accident Insurance
- Annual trip or party
- Performance/results-based bonus
- Annual bonus
KGI Securities (Thailand) Public Company LimitedKGI Securities (Thailand) is one of the leading securities firms in Thailand and provides a full range of services such as equity broking (a member of the Stock Exchange of Thailand with broker seat no. 13), investment and financial advisory, securities underwriting, securities registrar, selling of mutual funds, securities borrowing and lending, and OTC derivative and Futures business.
Location195 One Bangkok Tower 4, 18th -19th Floor, Wireless Road, Lumpini, Pathumwan, Bangkok, 10330
Contact personHuman Resources Department
Telephone0-2658-8889 Fax 0-2658-8000
Website
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