Compliance Manager

Position description:

We are seeking a Compliance Manager  to join the Pluang team. 

The Compliance Manager will play a crucial role in ensuring that our organization adheres to legal standards and internal policies. This position involves overseeing and coordinating all compliance activities within the company. The Compliance Manager will be responsible for developing, implementing, and managing an effective compliance program, ensuring that all employees and operations comply with relevant laws, regulations, and internal policies.

What you will be doing:

• Develop and implement an effective compliance program to prevent illegal, unethical, or improper conduct.
• Ensure company policies and procedures are communicated effectively, understood, and followed by all employees.
• Stay updated with applicable laws and regulations; ensure the organization's practices and policies comply with relevant legal standards.
• Conduct regular training sessions for employees to enhance awareness of compliance standards and requirements.
• Conduct internal investigations in response to compliance violations; prepare and maintain accurate documentation of investigations.
• Prepare and submit regular reports to management and regulatory agencies, detailing compliance activities and violations.
• Identify potential areas of compliance vulnerability and risk; develop and implement corrective action plans for resolution.
• Regularly monitor, audit, and report on compliance with company policies and applicable laws.
• Collaborate with internal departments to address compliance issues and provide guidance on regulatory matters.
• Maintain comprehensive records of all compliance activities, including policies, training, investigations, and audits.
• Promote and uphold ethical standards within the organization, ensuring that business conduct aligns with legal requirements and ethical practices.

What you need to be successful for this role:

• Strong analytical and problem-solving skills to assess compliance-related issues and provide effective solutions.
• Excellent verbal and written communication skills to convey complex compliance requirements clearly and effectively.
• Meticulous attention to detail in reviewing policies, conducting investigations, and preparing reports.
• Strong leadership skills to guide and supervise compliance teams effectively.
• High ethical standards and integrity, maintaining confidentiality and objectivity in all compliance matters.
• Exceptional organizational skills to manage multiple tasks, deadlines, and priorities effectively.
• Familiarity with compliance software, databases, and MS Office Suite.

Qualifications:

• Bachelor's degree in Business, Law, Finance, or related field.
• Professional certification in compliance (e.g., Certified Compliance & Ethics Professional, Certified Regulatory Compliance Manager) is a plus.
• Proven experience in a compliance role, with a strong understanding of regulatory frameworks and industry-specific compliance standards.
• Experience in the following types of business will be a plus: APERD; Securities Company; Futures Broker; Commodity Broker; CPFAK / PFAK

Work Environment Details:

• Attractive compensation package - competitive salary, flexible bonus scheme.
• We are always looking for ways to promote and inspire innovation. So, come build your dream with us.
• Individual career path - management and technical career growth, enhanced by learning and development program, regular performance assessment, teams of multi-national IT professionals.
• Healthy work environment - company-sponsored medical program, food, and beverage program, open communication.
• Friendly policies to support Work-life balance, team building, and celebrations.

We are an equal-opportunity employer and value diversity at our company. We do not discriminate based on race, religion, colour, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Pluang Company Overview

Empower millennial to achieve financial freedom through a diversified range of simple investment options

At pluang, it is our dream to provide access to all financial product and investment options in a simple and easy way. We believe that people from any background should be able to access the market of financial products.

Supported by robust technology, pluang empowers you to achieve future financial freedom. Our user-friendly application helps you to do financial investment with a very low budget but high return.

Pluang is affiliated with PG Berjangka which has a trading license from Bappebti.