Assistant Manager - Distribution Compliance

• Support the investigation of fraudulent activities involving agents, arising from customer complaints, market surveillance, field reviews, or anonymous reports. 

• Assist in fact-finding, coordination, and reporting to ensure timely escalation to the head of distribution compliance, or the relevant committee for decision-making. 

• Provide administrative and operational support for distribution compliance activities, including document management and compliance reporting. 

• Assist the Compliance Team in implementing investigation procedures, maintaining regulatory records, and supporting audits, training, and regulatory inspections to ensure compliance with applicable laws and internal policies. 

1. Investigation Process

• Conduct fact-finding investigations into suspected fraudulent activities.

• Collect evidence, prepare case files, and coordinate with Legal and Compliance, Distribution, and other relevant departments. 

• Assist in preparing investigation summary reports and submitting them to the head of distribution compliance.

2. Follow-Up Process

• Support coordination with Distribution Compliance to monitor corrective actions. 

• Assist n reinforcing compliance policies, procedures, and training to prevent recurrence. 

• Support fraud trend analysis and provide input to Distribution Compliance. 

3. Professional & Technical Development

• Support initiatives to enhance investigation methodologies and tools. 

4. Administrative & Other Responsibilities

• Maintain accurate and up-to-date case tracking systems, investigation records,, and documentation. 

• Support periodic review of investigation-related policies and procedures. 

• Support internal and external audit and regulatory inspections related to AML.

• Undertake and perform any additional duties as required.

• Knowledge of fraud detection, compliance, or risk management is an advantage. 

• Strong attention to detail and high integrity in handling sensitive and confidential information.

• Effective communication skills in both Thai and English (spoken and written).

• Proficiency in Microsoft Office (Word, Excel, PowerPoint, Outlook).

• Ability to work both independently and collaboratively in a fast-paced environment.

• Strong analytical and fact-finding skills, 

• Integrity and high ethical standards, 

• Organized and systematic in record keeping and document control.

• Willingness to learn and grow in the field of compliance.

• Ability to manage multiple tasks with attention to detail. 

• Strong sense of responsibility, confidentiality, and urgency in handling regulatory matters.