• Provide guidance to all staff or the business/support units upon receiving orally or in writing compliance queries.
• Updating and monitoring changes in relevant regulations (SET/SEC/AMLO and others).
• Performing compliance audits in accordance with the relevant methodology, identifying compliance weaknesses and risks as well as making recommendations for mitigating such risks and reporting their findings to COO and follow up timely implementation of mitigating actions.
• Monitor trading transactions and report any abnormal case to COO and related regulators.
• Conducting compliance training to employees on new statutory and regulatory compliance requirement.
• Coordinating with the related regulators (especially SET).
• Providing correspondence in connection with compliance matters to government agencies or regulators.
• Advocating and coordinating with Lawyers regarding legal process including collecting the various information related to the cases.
• Preparing an agreement depends on the company’s situation and following the cases.
• Analyze the applicable laws for the company's situation and inform COO.
• Perform other compliance and legal duties as assigned.
บริษัท หลักทรัพย์ เมอร์ชั่น พาร์ทเนอร์ จำกัด (มหาชน)
