The WM Compliance Officer provides reasonable assurance to the Territory Compliance Thailand and to the business Head of Wealth Management Thailand that adequate Compliance framework is in place:
in line with applicable local Regulations
in line with any applicable Group and WM internal policies & procedures
The WM Compliance Officer is responsible of leading, managing and organizing the Compliance function within his/her Business Line (at the territory level), in close cooperation with local/Regional Domains and the Compliance COO APAC
He/she is responsible of assessing a consolidated vision of Business Line risks and reporting theseto local Territory and WM senior management (Business & Compliance)
In accordance with the Group Code of Conduct, he/she sets the tone to develop a strong Compliance culture, in line with the following principles:
Independence, integration and decentralisation
Specialization of expertise
Accountability: Compliance is everyone's duty
Dialog: Compliance as a Business partner
Adequate training program
He/she is directly in charge of Financial Security, Know Your Customer, Protection of Clients’ Interests, Market Integrity, Professional Ethics, Securities/Banking Regulations for WM Thailand