Head of Compliance

An exciting Head of Compliance (x1 vacancy) job has arisen in a leading fintech in Bangkok.

About the Head of Compliance Role:

In this business critical role you will be responsible for managing compliance matters which are concise, practical and effectiveness. To be a key person who understand the compliance policies and procedures of asset management business. You will also take the lead developing the compliance related issues and plan. You will enjoy attractive base salary with provident fund and bonus for this role.

Key Responsibilities:

• Reporting to Thailand’s Board of Directors and the Group Chief Compliance and Risk Officer (CCRO), you will be responsible to develop and implement a scalable regulatory framework across second-line compliance responsibilities to ensure the company meets its regulatory and license obligations
• Act as the key liaison officer between the company and SEC and provide regulatory advice and recommendations to the local and the group business teams
• Keep abreast of regulatory changes/new regulatory developments and disseminate the same to the local and group compliance teams and business.
• Maintain, execute and implement the ongoing compliance monitoring programme for the Thailand business as per the Plan. Develop, maintain and align group compliance policies and procedures to local requirements. a Pro-actively drive the growth initiatives and new business requirements in Thailand, including supporting and monitoring product launches and/or changes to operating models in Thailand from a regulatory perspective
• Provide compliance and regulatory advisory on an ongoing basis including advice on existing and new Securities and Exchange Commission, Bank of Thailand, and Anti-Money Laundering Office regulatory requirements
• Conduct compliance induction training for all new staff and other basic training as may be required for the Thai office
• Periodic reporting to local Board and CCRO on compliance risks/issues
• Tasks/ projects/reviews as required by local and/or group office from time to time

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

Key Requirements:

• At least 10-12 years of combined working experience in compliance function including a traditional financial institution (asset management company, securities company, bank) or regulatory/advisory function in an audit or legal firm, or regulatory/compliance advisory function in a consulting firm or fintech company
• Minimum two years working experience in compliance in the past seven years in an asset management company or securities company. Otherwise, the alternative is: Four years of related experience in the past seven years in an asset management company or securities company
• Degree in Law, Finance, Accounting, Economics, Business Administration, or other closely related professional qualifications
• Informed of the relevant Securities and Exchange Commission and Bank of Thailand regulations and related regulations
• Good understanding and interest in the FinTech space and emerging regulatory scenario
• Good knowledge of private fund management and wealth management practices
• Excellent interpersonal and influencing skills, and multicultural awareness
• Strong analytical, problem-solving skills, attention to detail, and the ability for regulatory advocacy
• Desire to work in a lean start-up & scale-up environment that empowers personal accountability
• Strong ability to communicate effectively in English and Thai (oral and written).

This company is much more than international Fintech company 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 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