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

• 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/Fluent Thai and good English; Chinese is a plus for regional collaboration.