Head of Compliance

An exceptional opportunity awaits for an experienced compliance professional to step into the role of Head of Compliance in Bangkok, Thailand. This pivotal position is designed for someone who thrives on shaping and maintaining robust compliance frameworks while working at the forefront of financial innovation.

The organisation is renowned for its commitment to regulatory excellence and offers a supportive, collaborative culture where your expertise will directly influence both local and regional business strategies. You will be empowered to drive compliance initiatives that support new product launches, digital transformation, and cross-border growth, all within a flexible and inclusive workplace. If you are passionate about contributing to the future of financial services and eager to work alongside knowledgeable teams in a rapidly evolving sector, this is your chance to make a meaningful impact.

• Play a key role in developing and implementing scalable compliance frameworks that ensure adherence to regulatory obligations across Thailand’s dynamic financial landscape, with opportunities to contribute regionally.
• Collaborate closely with product, marketing, operations, and technology teams to provide practical compliance advice on innovative digital features, customer journeys, and new product launches.
• Enjoy a flexible working environment that values personal accountability, supports professional growth through training opportunities, and encourages curiosity about technology advancements such as automation and AI.

What you'll do:

As Head of Compliance based in Bangkok, you will play an instrumental role in safeguarding the organisation’s reputation by ensuring rigorous adherence to all relevant regulations. Your day-to-day activities will involve close collaboration with various internal teams—ranging from product development to marketing—to provide expert guidance on compliance matters related to innovative digital solutions. You will be responsible for interpreting complex regulatory requirements unique to Thailand’s financial sector while also supporting broader regional initiatives. By managing relationships with key regulators such as the SEC and overseeing all aspects of regulatory filings and inspections, you will help shape a culture of transparency and accountability. Your ability to review customer-facing materials for compliance accuracy will be crucial in maintaining trust with clients. Additionally, you will have the opportunity to lead or own specific domains within the group’s centre-of-excellence model—such as marketing or conduct governance—while contributing valuable insights during governance forums. This multifaceted role is ideal for someone who enjoys variety in their workday and is motivated by making a tangible difference in both local operations and regional projects.

• Develop and implement a comprehensive regulatory framework across second-line compliance responsibilities to ensure full adherence to all relevant regulatory and licence obligations in Thailand.
• Oversee the maintenance of local compliance policies, controls, and monitoring programmes while ensuring they remain up-to-date with industry best practices.
• Interpret complex regulatory requirements, guidelines, and industry expectations specific to Thailand’s financial sector, translating them into actionable processes for business teams.
• Act as the primary liaison officer with regulators such as the Securities and Exchange Commission (SEC), providing timely regulatory advice to both local and group-level stakeholders.
• Monitor ongoing regulatory changes or new developments, disseminating critical information efficiently to compliance teams and business partners throughout the organisation.
• Manage all aspects of regulatory filings, notifications, inspections, thematic reviews, and information requests from authorities with meticulous attention to detail.
• Advise on new product launches by reviewing customer journeys, digital features, campaigns, disclosures, and operational initiatives for compliance alignment.
• Review customer communications, disclosures, and marketing materials to ensure they meet all applicable legal and regulatory standards before release.
• Support governance forums, committees, and risk reporting processes by preparing insightful reports and participating actively in decision-making discussions.
• Contribute to building scalable and technology-enabled compliance processes that enhance efficiency while supporting regional cross-border product launches and commercialisation initiatives.

What you bring:

To excel as Head of Compliance in this forward-thinking organisation based in Bangkok, you will bring a proven track record from roles involving complex regulatory oversight within financial services. Your background should include significant exposure to asset management or securities environments where you have demonstrated your ability to interpret intricate regulations while fostering positive relationships with both regulators and internal teams. Your fluency in English and Thai enables seamless communication across diverse groups—a vital skill when advising on cross-border projects or collaborating regionally. A keen eye for detail combined with strong analytical abilities ensures that every aspect of compliance is meticulously managed. You are comfortable adapting quickly within lean team structures where personal accountability drives results. Furthermore, your enthusiasm for emerging technologies like AI positions you perfectly to contribute fresh perspectives on scalable compliance solutions. Above all else, your interpersonal skills foster trust among colleagues while your passion for ethical business practices underpins every decision you make.

• A minimum of 7–8 years’ experience in compliance, legal affairs, regulatory affairs or risk management within asset management, wealth management, securities firms, fintech companies or other related financial sectors is essential for success in this role.
• At least 2 years of direct hands-on compliance experience or 4 years of closely related experience within the past 7 years specifically within an asset management or securities company is required.
• A degree in Law, Finance, Accounting, Economics, Business Administration or another closely related professional qualification provides a strong foundation for this position.
• Excellent communication skills in both English and Thai (oral and written) are necessary for effective interaction with regulators and internal stakeholders alike.
• Familiarity with regulations issued by the Securities and Exchange Commission (SEC) as well as the Bank of Thailand is mandatory for navigating complex regulatory environments.
• Demonstrated analytical skills with acute attention to detail enable you to advocate effectively for regulatory matters while balancing business objectives.
• Knowledge of private fund management practices along with an understanding of wealth management operations enhances your ability to provide relevant advice; an interest in fintech innovations is considered advantageous.
• Experience thriving in lean start-up or scale-up environments that emphasise personal accountability over large organisational structures is highly valued.
• Curiosity about technological advancements such as automation tools, artificial intelligence applications or evolving digital operating models will help you stay ahead in this rapidly changing industry.

What sets this company apart:

This organisation stands out as a leader committed not only to regulatory excellence but also to nurturing talent within an inclusive environment that values knowledge sharing and continuous learning. Employees benefit from flexible working opportunities designed around individual needs—enabling better work-life balance without compromising professional growth. The company places great emphasis on supporting career development through access to training resources tailored towards expanding both technical expertise and soft skills. Collaboration lies at the heart of its culture: teams work together across functions—product development, marketing, operations—to deliver innovative solutions that redefine what’s possible within financial services. With a focus on leveraging technology advancements such as automation tools or AI-driven platforms for greater efficiency in compliance processes, employees are encouraged to explore new ideas while being supported by dependable leadership. The organisation’s commitment extends beyond business goals; it actively seeks input from under-represented voices ensuring everyone feels heard—a testament to its dedication towards creating a truly inclusive workplace where every contribution matters.

What's next:

If you are ready to take your career in compliance leadership further while making a real difference within an exciting financial services environment—this is your moment!

Apply today by clicking on the link provided—your next rewarding challenge awaits.

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