Deputy Head of Compliance

As a result of ongoing and continued successes both within Bangkok and internationally, this industry leader within the securities brokerage business is recruiting a Deputy Head of Compliance (x1 vacancy) to join their international division based in Bangkok.

About the Deputy Head of Compliance Role:

Reporting to Head of Compliance, you will be responsible for ensuring that all the policies of internal procedures are in compliance with internal policies as well as laws and regulations imposed by the Securities Exchange Commission. The salary offered is competitive with group insurance and bonus.

Key Responsibilities:

• Provide consultancy to senior management on regulatory compliance
• Identify and escalate on potential compliance risks
• Oversee and advise on AML/CFT matters
• Develop and oversee the implementation of an adequate compliance monitoring, review program and compliance checklists to monitor standard of regulatory compliance
• Establish compliance strategies including providing training to ensure that the employees are aware of the process and procedures
• Deliver other compliance-related tasks as assigned
• Oversees the regulatory compliance of regulated activities conducted by the Company with regards to statutory and regulatory requirements including, but not limited to, the Bank of Thailand (BOT), Securities and Exchange Commission (SEC), Stock Exchange (SET), Anti-Money Laundering Office (AMLO) and Personal Data Protection Committee (PDPC)

To succeed in this Deputy Head of Compliance role, you will need to have strong compliance knowledge, preferably with experience in securities business or banking.

Key Requirements:

• Master's degree in Economics, Business Administration, Banking and Finance or related field
• Minimum of seven years' work experience in compliance and internal audit
• Strong knowledge of AMLO, SEC and SET regulations
• Excellent command of written and spoken English

This leading firm needs no introduction and now is the great time to join their expanding team.

If you are a compliance professional seeking the right opportunity to take your career forward, this Deputy Head of Compliance role is for you. You will be a part of a forward-thinking company that values innovation and progressive mindset.

Apply now for this new opportunity.

Due to the high volume of applications, our team will only be in touch if your application is shortlisted.

Robert Walters Recruitment (Thailand) Limited
Recruitment License No.: น. 1188 / 2551