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.