Head of Compliance

About the role Foundational HR role to establish Compliance policies and processes in Thailand

Head of Compliance

Responsibilities:

Compliance Risk Management & Monitoring:

- Identifying and managing compliance risks, including money laundering, terrorism financing, personal data protection, and bribery and corruption risks.
- Managing Conflict of Interest and ensuring proper corporate governance.
- Analyzing the impact of regulatory and policy changes and communicating them throughout the organization.
- Establishing and reviewing compliance manuals and internal policies.
- Supervising business activities and personnel to ensure compliance.
- Developing and reviewing compliance programs and addressing non-compliance situations.

Advisory & Effective Communication:

- Advising the board and senior management on compliance-related laws, rules, and standards.
- Ensuring proper dissemination of notifications from regulatory bodies.
- Maintaining communication with stakeholders within the organization.

Continuous Training and Updates on Regulatory Developments:

- Providing training to employees on relevant regulatory requirements.

Compliance & Integrity Culture:

- Promoting and monitoring the integrity of the organization.
- Advocating a compliance culture and providing guidance on compliance issues.

Escalation and Reporting on Compliance Matters:

- Developing processes for escalating and reporting compliance matters.
- Highlighting compliance issues to the Board of Directors and senior management.
- Reporting breaches to regulatory bodies.

Consequence Management on Breaches:

- Ensuring procedures are in place for identifying and dealing with breaches.

Stakeholder Management:

- Acting as a liaison officer for regulatory engagements.

Management of Department:

- Managing the department's day-to-day operations, including coaching and budget management.

Ad-Hoc duties As per assigned from time to time

Requirements

- Bachelor’s degree in Law, Finance, Business, or related field.
- Strong experience in compliance roles within Thai securities brokerage / fintech .
- Solid knowledge of SEC Thailand , SET/TSD/TFEX rules , and AMLO AML/CFT requirements .
- Experience handling regulatory submissions, audits, inspections , and preferably brokerage licensing applications .
- Familiar with PDPA, investor protection rules, KYC/EDD, digital onboarding, and conduct risk.
- Proven leadership and ability to build a compliance function from the ground up.
- Strong communication skills with regulators and senior management.
- Language: Native Thai and Fluent English; Chinese is a plus for regional collaboration.