Head of Compliance - Securities Company (Thai National Only)

A distinguished securities firm in Bangkok is seeking to appoint a Head of Compliance who will provide refined guidance and will be entrusted with maintaining robust relationships with authorities and senior management, shaping internal controls that safeguard the organisation’s reputation.

This esteemed position offers the opportunity to serve as a nurturing mentor, imparting wisdom and fostering professional growth within a talented team, whilst ensuring the highest standards of regulatory integrity. If you are committed to sharing your knowledge, supporting colleagues, and advancing communal success, this role presents flexible working arrangements, comprehensive training support, and the chance to make a significant contribution within a respected financial institution. Embrace an environment where your dedication to compliance and inclusivity will be valued and celebrated.

• Provide dignified leadership to a team of compliance officers, offering gentle mentorship and cultivating a collaborative atmosphere to ensure all regulatory obligations are fulfilled with assurance.
• Serve as the principal liaison between the company and regulatory authorities, delivering dependable counsel and nurturing relationships founded upon trust, empathy, and mutual respect.
• Benefit from flexible working arrangements and ongoing training support that enable you to enhance your expertise and share it generously with your team—ensuring continual professional development for all.

What you'll do:

In the capacity of Head of Compliance – Securities, you will preside over a department dedicated to achieving excellence through decorous leadership. Your daily responsibilities will encompass uplifting your team via supportive guidance, ensuring rigorous adherence to SET and SEC regulations, cultivating positive relationships with authorities, keeping management informed about regulatory developments, assisting in the implementation of robust internal controls, conducting audits with empathy, fostering an inclusive culture around compliance, promoting collaborative problem-solving, providing constructive feedback in a considerate manner, and championing continuous improvement. Success in this role is defined by creating an environment where every member feels esteemed for their contribution to collective compliance objectives—and where teamwork renders every challenge surmountable.

• Offer compassionate guidance to a team of compliance officers, prioritising their professional development through regular training initiatives.
• Ensure unwavering adherence to all regulations stipulated by the Stock Exchange of Thailand (SET) and Securities Exchange Commission (SEC), utilising your extensive regulatory expertise.
• Establish and maintain respectful connections with regulatory authorities on all compliance matters, fostering open communication based on mutual understanding.
• Keep senior management and department heads apprised of regulatory changes, providing clear explanations that promote unity across teams.
• Assist management in implementing effective internal controls and procedures that encourage communal responsibility for compliance throughout the organisation.
• Conduct periodic audits and reviews with sensitivity to ensure policies established by the Board or Head Office are consistently observed.
• Promote an inclusive culture wherein compliance is regarded as a shared commitment rather than an individual obligation.
• Encourage inter-personal collaboration within your team by advocating co-operative approaches when addressing compliance challenges.
• Deliver honest feedback regarding compliance issues in a manner that is considerate, constructive, and supportive.
• Champion continuous improvement by identifying areas for enhancement in compliance processes and nurturing solutions collectively with your team.

What you bring:

The ideal candidate for Head of Compliance – Securities possesses demonstrable experience from the stockbroking or related industry, reflecting deep familiarity with SET and SEC regulations. Your proficiency in both Thai and English enables you to foster cordial connections across departments. You have managed teams previously—always prioritising their advancement through supportive leadership—and possess exceptional inter-personal skills that engender trust among colleagues. Your experience conducting audits has shown you how vital it is to approach compliance matters with sensitivity. You have successfully liaised with regulatory bodies by being honest and considerate. Organisational acumen is second nature; it assists in maintaining robust internal controls while preserving process flexibility. Above all, your commitment to continuous learning ensures you remain knowledgeable about new developments in regulation—and you share this insight generously within your network.

• Comprehensive knowledge of SET and SEC rules and regulations is indispensable for ensuring reliable compliance across all operations.
• Three to five years’ experience in a comparable capacity within stockbroking or related industry evidences your ability to foster effective compliance practices.
• Proficient oral and written communication skills in both Thai and English facilitate warm engagement with colleagues at all levels.
• A highly motivated disposition as a team player ensures you contribute positively to communal achievements within the department.
• Exceptional inter-personal skills enable you to cultivate trusting relationships with colleagues, authorities, and management alike.
• Experience managing teams in a supportive manner demonstrates your commitment to developing others through gentle guidance.
• Ability to conduct audits sensitively reflects your appreciation for how compliance impacts individuals throughout the organisation.
• Proven history liaising with regulatory bodies underscores your capacity for honest communication grounded in mutual respect.
• Strong organisational skills assist you in maintaining dependable internal controls without compromising inclusivity or flexibility.
• Dedication to continuous learning ensures you remain knowledgeable about evolving regulations while sharing insights generously.

What sets this company apart:

This organisation distinguishes itself as one of Bangkok’s most esteemed securities firms through its steadfast commitment to ethical conduct, communal responsibility, and employee wellbeing. Herein lies an inclusive workplace where every voice is respected—whether advising senior management or mentoring junior staff. Flexible working arrangements allow for harmonious balance between professional advancement and personal needs. Comprehensive training support ensures that your expertise continues expanding alongside your career aspirations. The company values dependability above all: employees are regarded as trusted partners who share responsibility for upholding high standards together. Supportive leadership encourages collaboration rather than competition; here success is measured not solely by individual accomplishment but by how effectively teams work together towards shared objectives. If you value warmth, honesty, inclusivity, and continual learning within a networked environment—this institution offers an exemplary setting for your talents.

What's next:

If you are prepared to invigorate a collaborative team whilst guiding compliance excellence within Bangkok’s distinguished securities sector—this opportunity awaits your consideration.

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