Head of Compliance and Risk (Digital Private Fund)

An exciting Head of Compliance and Risk (x1 vacancy) job has arisen in a leading financial services firm in Bangkok.

About the Head of Compliance and Risk Role:

In this business critical role you will be responsible for managing compliance and risk management which are concise, practical and effectiveness. To be a key person who understand the compliance policies and procedures of new fintech company digital private fund management business. You will also take the lead developing the compliance related issues and plans. The role offers performance bonus and medical benefits.

Job Responsibilities:

• Design and implement risk management framework
• Develop compliance plan and related policies for compliance with regulatory requirements (e.g. AML/CFT, sales processes, client complaints, outsourcing, investment, PDPA)
• Identify the organisation's risk appetite and perform monitoring and reviews to ensure risk-based approach adherence
• Horizon scan to increase the awareness of potential risks
• Establish internal controls to mitigate risks
• Ensure compliance with regulatory obligations whilst taking a commercial and practical approach to risk-based challenges
• Ensure board and senior management remain informed of regulatory changes, best practices, and overall compliance status of business units
• Liaison with external auditors and be the main contact point with regulators
• Providing support, education and training to staffs to build risk awareness within the organisation
• Prepare proactive and practical regulatory advice to business managers and support functions
• Work closely with key stakeholders to understand the business requirement for success of projects

To succeed in this role, you must have good communication skills in English.

Key Requirements:

• Bachelor's and/or Master’s degree(s) in Law, Business Administration, Finance, or a related field
• Able to demonstrate a broad technical knowledge and expertise covering conduct of business matters, corporate governance, risk management and regulatory compliance
• Minimum five years experience in risk management and/or compliance in asset management business
• On-hand knowledge and experience on specific compliance areas g. AML/CFT, PDPA, investment risk management is preferable
• Technical understanding and aptitude for analytical problem-solving
• Thai national
• Comfortable English written and spoken mandatory
• Experience in preparing operational readiness for SEC license activation is a major plus

This company is much more than fintech and is anything but traditional. They have the people and ethos to act with speed, innovation, enterprise and creativity. The scope of the offer, the size of the business, the freedom and autonomy to drive your career forward all adds up to a great place to work.

If you are driven, determined and want to take the next step in your career, this is the role for you. Great career progression opportunities await the right person in this exciting Head of Compliance & Risk job.

Apply today or call me to discuss 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