About the job
TSFC Securities Public Company Limited is the only Securities Finance Corporation (SFC) of Thailand. Our Mission is to be the main source of securities funding for both securities companies and investors. It was established to complete credit services for securities financing in accordance with the needs of securities business and support the government policies to help and develop the country's securities and capital market businesses.
Key Responsibilities:
1. Regulatory Compliance:
- Ensure the company's compliance with all applicable laws and regulations comply to SET.
- Develop, implement, and maintain compliance policies and procedures.
- Monitor changes in laws and regulations and update policies as needed.
- Conduct regular compliance audits and risk assessments.
2. Legal Advisory:
- Provide legal advice and support to management and departments on a variety of legal issues.
- Draft, review, and negotiate contracts, agreements, and other legal documents.
- Manage and resolve legal disputes and litigation matters.
- Liaise with external legal counsel as necessary.
3. Corporate Governance:
- Ensure that the company adheres to good corporate governance practices.
- Advise the board of directors and senior management on governance issues.
- Prepare and maintain corporate records and documentation.
4. Risk Management:
- Identify and assess potential legal and compliance risks.
- Develop strategies to mitigate identified risks.
- Conduct training sessions for employees on compliance and legal issues.
5. Ethics and Integrity:
- Promote a culture of integrity and ethical behavior within the organization.
- Develop and implement ethics programs and initiatives.
- Handle internal investigations related to compliance and ethical issues.
6. Policy Development:
- Develop and maintain policies and procedures related to legal and compliance matters.
- Ensure policies are communicated effectively throughout the organization.
7. Reporting:
- Prepare reports for senior management and the board on compliance and legal matters.
- Maintain accurate and up-to-date records of all compliance activities.
