Assistant Manager - Compliance

Location THAILAND
Experience level Experienced Hire
Job details sector Legal and Compliance

 

  • Compliance Risk Management Program
    • Monitor and ensure all business units comply with company internal policy, procedures, and external regulations.
    • Monitor business activities regularly to detect any possible breaches of legislative, guidelines and to take remedy actions where necessary.
  • Distribution compliance
    • Conduct reviews of sales practices of the distribution channels to determine compliance with regulatory requirements, company policies and procedures, identify gaps and recommend corrective actions.
    • Monitor the distribution application process are in accordance with the local regulatory requirement
  • Compliance Infrastructure
    • Support initiatives for more efficient/effective compliance processes. Successful measure and excellent feedback on the impact of initiative
  • Regulatory Compliance
    • Responsible for ensuring compliance with requirements & reporting.
    • Identify potential compliance violations and internal control weakness; and ensure timely resolution.
    • Kept abreast of the regulatory environment and review / update control processes.
    • Providing competent, reliable and timely compliance advising regulatory compliance issues and requirements management and/or the department concerned.
    • Check and account for existing KAL policies and identify which ones are already approved during the LMACC, local BACC and the Board of Directors. To ensure that the approved KAL policies are current vis-à-vis all AXA Policies for further adoption and localization, and also to include applicable laws and regulations, where necessary, for immediate implementation within the business units.
    • Monitor and follow up plans to be created based on the outcome of the analysis. High-risk functions or areas will be highlighted.
  • Division and Corporate Reporting
    • Responsibilities include preparation and compilation of reports such as quarterly LMACC, BACC reports, annual AML assessments, monthly Anti-Money Laundering & CTF reports, as well as ad hoc reporting with the feedback on timeliness, quality and transparency etc.
    • Coordinate and report compliance related issues to the Regional Office as requested
  • Training and Awareness
    • Responsible to build awareness & compliance culture in Thailand operations
    • Provide training and education of staff, agent, and financial advisor as well as to extend the insurance compliance knowledge toward our broker, JV partner, outsourcer, etc.
    • Support receiving and giving recommendation for compliance related issues for the company’s employees

 

  • Bachelor’s Degree or higher in Laws, Accounting or Finance
  • 2-3 years’ experience in life insurance or financial services industry
  • Experience in Compliance related position(s)
  • Extensive knowledge of the regulatory environment, relevant legislation and regulatory requirements
  • Good command of both spoken and written English 
  • Ability to work under pressure and meet tight deadlines
  • Knowledge of regulatory requirements for life insurance business and risk management
  • Highly motivated and eager to learn
  • Good interpersonal skills

Would you like to wake up every day driven and inspired by our noble mission and to work together as one global team to empower people to live a better life? Here at AXA we strive to lead the transformation of our industry. We are looking for talented individuals who come from varied backgrounds, think differently and want to be part of this exciting transformation by challenging the status quo so we can push AXA - a leading global brand and one of the most innovative companies in our industry - onto even greater things.

In a fast-evolving world and with a presence in 64 countries, our 166,000 employees and exclusive distributors anticipate change to offer services and solutions tailored to the current and future needs of our 103 million customers.


Krungthai-AXA Life Insurance Public Company Limited, created from a solid co-investment partnership between Krungthai Bank PCL. and the AXA Group, global financial protection and asset-management specialists.

Krungthai-AXA Life Insurance Public Company Limited is committed to doing business responsibly, and to building trust-based relationships with all of our alliances.

  • A competitive salary
  • Health Insurance cover OPD and IPD and dental plan 
  • Life and Accident Insurance 
  • Parent’s Health Benefit(IPD) for single staff 
  • Company provides group health insurance including his/her spouse and up to 3 children
  • Provident Fund