Head of Compliance

An exceptional opportunity awaits an experienced compliance professional to step into the pivotal role of Head of Compliance at a leading financial services organisation in Bangkok, Thailand.

This position offers you the chance to shape the compliance culture and governance framework of a respected institution, reporting directly to the Board of Directors. You will be instrumental in ensuring that all operations align with the rigorous standards set by the Stock Exchange of Thailand (SET) and the Securities and Exchange Commission (SEC). The organisation is committed to fostering a supportive environment where your regulatory knowledge, strategic thinking, and collaborative approach will be highly valued. With a focus on continuous improvement, ethical practices, and cross-departmental cooperation, this role provides a platform for you to make a lasting impact while enjoying flexible working opportunities and ongoing professional development.

• Play a key role in shaping organisational governance by leading the compliance function and ensuring adherence to SET and SEC regulations, directly influencing long-term business success.
• Benefit from a collaborative workplace culture that values integrity, accountability, and continuous learning, offering you the support needed to thrive in your leadership journey.
• Enjoy flexible working opportunities and access to training programmes designed to enhance your skills and keep you at the forefront of regulatory developments.

What you'll do:

As Head of Compliance, you will take on a central role in guiding the organisation’s approach to regulatory adherence while nurturing a culture of ethical conduct. Your day-to-day activities will involve overseeing a skilled team dedicated to upholding high standards across all facets of compliance. You will work collaboratively with colleagues at every level - providing expert advice on evolving regulations, developing comprehensive policies tailored to business needs, and acting as a trusted point of contact for regulators. By conducting thorough risk assessments and leading regular audits, you will help safeguard organisational integrity while promoting awareness through targeted training initiatives. Your ability to foster open communication channels between departments will be crucial in ensuring that everyone understands their responsibilities under current laws. Success in this role means not only meeting regulatory obligations but also inspiring confidence among stakeholders through your commitment to transparency, dependability, and shared growth.

• Lead, mentor, and manage a dedicated team of compliance officers to ensure effective execution of all compliance responsibilities across the organisation.
• Foster a culture rooted in accountability, integrity, and continuous improvement within the compliance team through regular feedback and supportive guidance.
• Ensure full alignment with all rules, regulations, and guidelines issued by the Stock Exchange of Thailand (SET) and Securities and Exchange Commission (SEC), maintaining robust policies and procedures.
• Develop, implement, and maintain comprehensive compliance frameworks that reflect current regulatory requirements while supporting business objectives.
• Act as the primary liaison with regulatory authorities such as SET and SEC on all matters related to compliance, representing the company during audits, inspections, or inquiries.
• Provide timely updates and expert advice to senior management regarding changes in laws, regulations, or industry standards that may affect business operations.
• Collaborate closely with internal stakeholders to assess regulatory risks associated with new products, services, or business initiatives.
• Assist management in designing and implementing effective internal controls aimed at mitigating compliance risks throughout the organisation.
• Conduct regular risk assessments to identify potential areas of vulnerability within existing processes and recommend corrective actions where necessary.
• Plan and execute periodic audits and reviews to ensure strict adherence to both internal policies and external regulations, preparing detailed reports for senior leadership.

What you bring:

To excel as Head of Compliance, you will bring substantial experience gained within regulated environments - ideally from stockbroking or broader financial services sectors - where you have demonstrated your ability to interpret complex legal frameworks. Your educational background equips you with foundational knowledge while any advanced qualifications further distinguish your expertise. You possess fluency in both Thai and English which allows you to communicate nuanced regulatory concepts effectively across multicultural teams. Your history of managing people showcases your supportive leadership style: one that encourages open dialogue, nurtures talent development, and builds consensus around shared goals. You are known for your analytical approach - carefully assessing risks before recommending improvements - and your dedication to ethical practice sets an example for others. Above all else, your interpersonal strengths enable you to connect meaningfully with colleagues at every level as well as external partners; this ensures that compliance remains integrated into daily operations rather than treated as an afterthought.

• A bachelor’s degree in law, finance, business administration or a related field is required; an advanced degree or professional certification such as Certified Compliance Professional is preferred for this position.
• At least 5–10 years’ experience in a similar capacity within stockbroking or financial services is essential; prior exposure to SET/SEC regulations is mandatory for success in this role.
• In-depth understanding of SET/SEC rules, reporting requirements, best practices, and industry standards is critical for effective performance.
• Strong oral and written communication skills in both Thai and English are necessary for presenting complex information clearly across diverse audiences.
• Proven track record managing teams effectively with an ability to inspire trust among team members while fostering collaboration across departments.
• Excellent interpersonal skills are required for building relationships internally as well as with external stakeholders including regulators.
• Analytical mindset with proactive problem-solving abilities enables you to identify issues early on and implement practical solutions efficiently.
• High level of integrity coupled with unwavering commitment to upholding ethical standards throughout all aspects of work is expected from candidates.
• Open to Thai nationals only.

What sets this company apart:

This organisation stands out for its steadfast commitment to fostering an inclusive environment where every employee’s contribution is valued. Here you will find a culture built on mutual respect, transparency, and shared responsibility - a place where collaboration thrives across departments. The leadership team prioritises professional growth by providing access to ongoing training opportunities so that employees remain knowledgeable about emerging trends in regulation. Flexible working arrangements are available to help balance personal commitments alongside career ambitions. The company’s reputation for ethical conduct extends beyond compliance; it is embedded into every aspect of how business is conducted. Employees benefit from being part of a networked community where support is always available - whether through mentorship programmes or peer-to-peer learning sessions. If you are seeking an employer who genuinely invests in your development while empowering you to make meaningful contributions towards organisational excellence, this is the ideal setting for your next career move.

What's next:

If you are ready to take on this rewarding challenge as Head of Compliance - and play an integral part in shaping organisational governance - your next step starts here!

Apply today by clicking on the link provided; we look forward to receiving your application.

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