Head of Compliance (Asset Management)

About The role Our client is seeking a highly knowledgeable and dependable Head of Compliance to join their team in Bangkok. This role offers an exciting opportunity to oversee the compliance activities for a leading organisation, ensuring adherence to both local and international regulatory requirements.

Key Responsibilities:

• Ensure full compliance with Thai regulatory requirements, including those set by the Securities and Exchange Commission (SEC) and other governing bodies.
• Oversee the creation, review, and implementation of compliance policies, ensuring they align with local and international laws.
• Perform annual IOE and Compliance plan and manage the company's compliance process.
• Develop and update compliance policies and standards in alignment with global practices.
• Communicate policies and standards across all organisation levels, providing guidance on compliance matters.
• Lead internal audits and work with external auditors to ensure all compliance measures are met.
• Oversee compliance monitoring programs and identify any areas of non-compliance or potential risk.
• Arrange regular meetings for Audit Committee as the secretary of the Committee.
• Act as primary liaison for the company with the SEC, other statutory authorities, Data Protection Officer (DPO), and AML Officer.
• Oversee compliance activities for a leading organisation
• Ensure adherence to local and international regulatory requirements
• Foster a strong compliance management culture

Key Qualifications:

• Master’s or bachelor’s degree in related fields.
• Minimum of 10 years of working experience preferably in asset management industry.
• Possess qualification required by SEC.
• Strong knowledge of SEC rules and regulations.
• Deep understanding of financial service products and markets pertinent to securities laws and regulations.
• Proven abilities in written and verbal communication, presentations, attention to detail, critical thinking, analytical problem solving, decision making.
• Ability to work both independently and collaboratively within a team environment.
• Proficiency working with Microsoft Office suite of applications.

This company is much more than international Fund Manageent 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