Manager - Compliance Assurance & Conduct

Job Description:

1. Compliance Planning, Review & Monitoring

• Support the development and implementation of annual compliance assurance plans, including control testing, sample reviews, and ad-hoc monitoring activities.
• Conduct regular meetings with BUs to review ongoing compliance and monitor processes related to Customer Protection, AML, Sanctions, and other areas, ensuring alignment with AXA Group policies, local regulations, and standards.
• Ensure the timely completion of scheduled compliance review, testing, and assurance activities, including follow-up on issues identified to support ongoing compliance.

2. Support for Other Assurance Activities

• Facilitate and support internal and group-wide assurance activities such as mystery shopping, vendor reviews, branch and agency onsite visits, and other monitoring.
• Support and propose risk-based assurance initiatives to ensure accuracy and proactively prevent gaps or non-compliance issues
• Coordinate with Internal Control, Internal Audit, and Operational Risk teams for collaboration meetings and joint reviews.
• Assist in executing ad-hoc reviews and special assurance projects as assigned by management.

3. Documentation & Reporting

• Prepare summaries, reports, and presentations for management, regulatory authorities, and Group Compliance.
• Maintain accurate records of all assurance activities, review findings, and follow-up actions

Qualifications:

• Bachelor’s Degree in Law, Accounting, or related field.
• At least 5 years’ experience in Compliance, Audit, Risk Management, Legal, or related functions in financial services industry, preferably Insurance.
• Experience in insurance business as Compliance/ Internal audit is a plus.
• Good Analytical and time management skills
• Strong communication and interpersonal skills.
• Self-motivated, proactive, and willing to learn.
• Good command of spoken and written English to be able to present findings & recommendations to management
• Good computer skills in MS office.
• Be able to travel upcountry (audit selected agencies and Branches as assigned)

About Krungthai-AXA Life Insurance

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.

The trademark of Krungthai-AXA Life Insurance is designed to indicate the combination of the two corporations. Krung Thai Bank PCL. and AXA Group logos are aligned with Thai characters displaying the company name as Krungthai-AXA Life Insurance placed above the red line and the new company signature. Redefining/Life Insurance.

Today Krungthai-AXA Life Insurance Public Company Limited is a fast-growing life insurance company with a vision – Ambition AXA.

Our Company Benefits