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Head of Legal, Compliance & Risk Management



Bangkok, Thailand
Posted on Thursday, October 5, 2023

Job Description



● Monitoring newly enacted legislation, regulations, regulatory guidance, and conditions related to
company business including but not limited to insurance and data privacy laws and regulations
● Monitoring and evaluating the performance of the company with regards to compliance with relevant
laws, regulations, and corresponding conditions
● Reviewing and monitoring company work procedures for every department
● Setting and updating the internal checklist of regulatory reports required to be filed within timelines.
● Advising and reviewing internal regulations and practice to conform with related executed laws
● Liaising with the Office of Insurance Commission (OIC), Anti Money Laundering Office (AMLO), and any
other supervisory regulators.

Risk Management

● Promote risk management awareness among departments, branches, and subsidiaries by coordinating
the review, update, and monitoring of risk register and controls
● Monitor market risk of products
● Monitor operational risk and other risks such as legal, reputational, and compliance risk and follow up on
improvement areas
● Review operational manuals and new product launched and provide input from a risk perspective
● Support regional Risk Management to align policies and practices and make timely and accurate reporting
● Support review of policies, development of methods to assess risks, and ensuring the reliability of these
● Support changes and modifications to the overall Risk Management Framework and its related activities
for further enhancement and efficiency.
● Analyze risk indicators and formulate solutions to address risks.
● Prepare, review risk reports and ensure execution of the action plans.
● Ensure risk management policies are implemented.
● Observe and comply at all times with all acts, laws, articles of associations, rules, and regulations affecting
the Company’s business and the securities industries and be conversant with all statutory modifications
and reenactments as may be introduced thereto.
● Perform other functions as may be assigned by the superior from time to time.
● Display teamwork and work closely with other senior management at all times.
● Support KSK plan development and coordinate periodic KSK testing.


● Provide accurate and timely counsel to executives on legal-related matters which include but are not
limited to partnerships, international ventures, corporate finance, etc.
● Collaborate with the Management to devise efficient defense strategies
● Review and monitor incoming and outgoing arbitration, court and complaints escalated from the
regulator(s) if any, and enforce SOP for file allocation to internal and external counsels while optimizing
● Ensure that there is tracking methodology and inventory of files updates with status and relevant details
● Specify internal governance policies and regularly monitor its compliance
● Conduct research and evaluation on different risk factors regarding business decisions and operations
● Apply effective risk management techniques and offer proactive advice on possible legal issues
● Liaise and build rapport with external stakeholders i.e. regulators, external counsel, public authority, etc.
● Draft and solidify agreements, contracts, and other legal documents to ensure Company’s full legal rights
are well protected
● Deal with complex legal-related matters with multiple stakeholders
● Provide clarification on legal language or specifications to internal stakeholders
● Conduct your work with integrity and responsibility
● Maintain current knowledge of alterations in legislation

Key Requirements:

● Bachelor or Master in Law degree holder
● At least 5 years legal/compliance experience in insurance (preferred), financial industry, or law firm
● Ability to confront conflict and difficult issues in a professional, assertive and proactive manner
● Ability to communicate in the English language (writing and speaking)
● Display personal qualities of integrity, credibility, and strong work ethic
● Strong in leadership and can work effectively in a team and multi-cultural environment
● Analytical, attention to detail, and creative problem-solving abilities