Compliance Officer - Asset Management

A rapidly expanding asset management startup in Bangkok is seeking a Compliance Officer to play a central role in establishing its compliance function and regulatory licensing.

This opportunity offers you the chance to work directly with senior leadership, shape the compliance culture from the ground up, and be instrumental in securing the firm’s asset management license. If you are passionate about building processes, thrive in collaborative environments, and want to make a meaningful impact on a company’s growth trajectory, this position will allow you to leverage your expertise while enjoying flexibility and professional development. The organisation values supportive leadership, inclusive teamwork, and offers an environment where your contributions are recognised and celebrated.

• You will be at the forefront of developing the compliance function for a new asset management firm, working closely with senior leaders to create policies and frameworks that ensure regulatory success.
• This role provides direct engagement with regulators such as the Securities and Exchange Commission Thailand, giving you valuable exposure and influence over strategic licensing initiatives.
• Enjoy flexible working opportunities within a nurturing team environment that encourages knowledge sharing, professional growth, and collaboration across departments.

What you'll do:

As a Compliance Officer Asset Management based in Bangkok, you will be responsible for driving the establishment of robust compliance systems within a fast-growing startup. Your day-to-day activities will involve coordinating licensing applications with regulators, designing policies that meet stringent legal requirements, conducting risk assessments to safeguard against regulatory breaches, and collaborating across departments to ensure compliance is woven into every aspect of business operations. You will also prepare essential documentation for both initial licensing and ongoing governance needs while supporting training initiatives that build awareness throughout the organisation. Success in this role requires proactive engagement with stakeholders—both internal teams and external authorities—and a commitment to maintaining high standards of integrity. Your ability to adapt quickly in a dynamic environment will be key as you help shape the company’s long-term growth through effective compliance practices.

• Lead and coordinate the application process for obtaining the company’s asset management license by preparing documentation and liaising with relevant regulatory authorities.
• Engage directly with the Securities and Exchange Commission Thailand and other regulators throughout all stages of the licensing process to ensure timely approvals.
• Develop, implement, and maintain comprehensive compliance policies, procedures, and internal controls that align with current regulations governing asset management.
• Ensure ongoing adherence to SEC regulations, AML/CFT requirements, and all applicable laws by monitoring business activities and updating frameworks as needed.
• Prepare detailed compliance manuals, regulatory documentation, and governance frameworks required for both initial licensing and continued operations.
• Advise senior management on regulatory developments by assessing their impact on business strategy and recommending necessary adjustments.
• Conduct regular compliance monitoring activities including risk assessments and periodic reviews to identify potential regulatory risks and propose mitigation strategies.
• Support the creation of compliance training programmes and awareness initiatives across the organisation to foster a strong culture of regulatory responsibility.
• Collaborate closely with Legal, Operations, Risk, and senior leadership teams to embed compliance into daily business processes for seamless integration.
• Assist with regulatory reporting obligations, inspections, audits, and any follow-up actions once operational status is achieved.

What you bring:

The ideal candidate for Compliance Officer Asset Management brings substantial experience from SEC-regulated financial institutions such as asset management or fund management firms. Your academic background equips you with foundational knowledge while your hands-on involvement in licensing processes showcases your practical expertise. You possess deep familiarity with local regulations—including anti-money laundering protocols—and have demonstrated skill in drafting comprehensive policy documents. Your interpersonal abilities enable you to connect empathetically with colleagues across departments as well as external authorities. Adaptability is crucial; you flourish when building new systems rather than maintaining existing ones. Attention to detail underpins your approach to risk assessment while your integrity ensures ethical conduct at all times. Fluency in Thai and English allows you to share insights effectively within multicultural teams. By combining technical know-how with collaborative spirit, you are ready to support organisational growth through dependable compliance leadership.

• Bachelor’s degree in Law, Finance, Business Administration or related discipline is required for this position.
• 3–5 years of proven experience in compliance or regulatory roles within asset management, securities, fund management or other SEC-regulated financial institutions is essential.
• Hands-on experience supporting or leading SEC licensing or regulatory approval processes is highly preferred for this role.
• Strong understanding of Thailand SEC regulations including AML/CFT requirements as well as corporate governance standards is necessary.
• Experience drafting compliance policies, manuals, procedures and regulatory documentation demonstrates your attention to detail.
• Ability to thrive in a startup environment by building processes from scratch while adapting flexibly to changing priorities is important.
• Excellent stakeholder management skills including communication with regulators and senior leadership are vital for success.
• High level of integrity combined with sound judgment ensures trustworthiness in sensitive matters.
• Professional proficiency in both Thai and English enables effective communication across diverse teams.

What sets this company apart:

This asset management startup offers an exceptional platform for professionals who value supportive leadership and collaborative teamwork. The organisation prioritises knowledge sharing among employees so everyone can learn from each other’s experiences. Flexible working opportunities are available to accommodate personal commitments alongside professional responsibilities. Training programmes are designed not only for skill enhancement but also for fostering an inclusive culture where every voice matters. The company’s commitment to nurturing talent means you’ll have access to resources that encourage continuous development—whether through formal learning sessions or informal mentoring relationships. As part of a close-knit team focused on mutual success rather than individual achievement, you’ll find your contributions appreciated by colleagues who genuinely care about each other’s wellbeing. This environment empowers you to grow personally while making a tangible impact on the firm’s future direction.

What's next:

If you’re excited about shaping compliance from its foundation within an ambitious asset management startup, this is your moment—apply now!

Apply today by clicking on the link provided.

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