VP Compliance

A leading asset management organisation in Bangkok is seeking a Vice President Compliance to champion the integrity and effectiveness of its compliance framework across investment management and business development activities.

This pivotal role offers you the opportunity to shape compliance culture, ensuring adherence to regulatory requirements, SEC regulations, fund prospectuses, investment guidelines, and internal policies. You will be at the heart of collaborative efforts with investment, operations, product, marketing, and business teams, providing expert guidance and fostering a supportive environment for risk management. The organisation values your commitment to promoting awareness and understanding of compliance obligations through training and advisory support. With flexible working opportunities and a focus on professional growth, this position is ideal for those who thrive in an inclusive setting where their expertise makes a tangible impact.

• You will play a central role in developing, maintaining, and reviewing comprehensive compliance manuals that cover all aspects of investment management, operational procedures, and business activities.
• Your expertise will be instrumental in advising multiple teams—investment, operations, product, marketing, and business development—on complex regulatory matters while ensuring policies remain aligned with industry best practices.
• The organisation offers flexible working arrangements and encourages ongoing professional development through training opportunities and knowledge sharing sessions within a supportive team environment.

What you'll do:

As Vice President Compliance based in Bangkok, you will be entrusted with overseeing the organisation’s entire compliance framework. Your day-to-day responsibilities will involve collaborating closely with various departments—investment management, operations, product development, marketing—and providing expert advisory support on regulatory matters. You will lead efforts in developing comprehensive manuals that guide operational excellence while ensuring all policies are up-to-date with evolving legal requirements. By conducting regular training sessions for staff members across the business units you will foster a culture of awareness around compliance obligations. Your role includes rigorous monitoring of investment restrictions both before trades are executed and after completion to guarantee full adherence to SEC regulations. You will also investigate any breaches or exceptions diligently—escalating issues when necessary—and prepare detailed reports for senior leadership. Periodic reviews of internal controls will be part of your remit as you assess their effectiveness across different functions. Additionally you will oversee the approval process for marketing materials ensuring they meet regulatory standards before reaching clients or the public. Through these varied responsibilities you will contribute significantly to strengthening governance structures while supporting business growth.

• Develop, maintain, and periodically review the Compliance Manual to ensure it comprehensively covers investment management, operational processes, and business activities.
• Ensure that compliance policies, procedures, and controls are consistently updated to reflect current laws, regulations, and industry standards.
• Provide timely compliance advice and guidance to investment, operations, product, marketing, and business development teams regarding regulatory requirements and best practices.
• Communicate relevant laws, regulatory updates, rules, and notifications effectively to employees and stakeholders across the organisation.
• Conduct engaging compliance training sessions designed to promote awareness and understanding of compliance requirements among staff members.
• Perform daily pre-trade and post-trade monitoring of investment restrictions and regulatory limits to ensure strict adherence to SEC regulations as well as fund prospectuses.
• Establish, maintain, and periodically review compliance rules within monitoring systems to ensure robust oversight of investment activities.
• Investigate potential compliance breaches or exceptions thoroughly; escalate significant issues appropriately; recommend corrective actions; prepare exception reports for local and regional management.
• Conduct periodic reviews of internal controls related to investment management, operations, marketing activities, and business development initiatives; identify weaknesses; recommend enhancements for stronger governance.
• Review and approve marketing materials prior to publication or distribution; provide oversight for business development communications; ensure alignment with SEC regulations.

What you bring:

To excel as Vice President Compliance you should bring substantial experience from asset management or financial services sectors where you have managed complex regulatory frameworks. Your academic background in law finance accounting or related fields equips you with foundational knowledge needed for this role. You possess deep familiarity with SEC regulations fund prospectuses investment guidelines which enables you to advise teams confidently on intricate matters. Your track record includes hands-on involvement in both monitoring investments against regulatory limits as well as providing strategic advisory support during business development initiatives. Analytical thinking comes naturally to you allowing thorough investigation into potential breaches exceptions followed by actionable recommendations. Communication is one of your strengths—you can present findings clearly write compelling reports engage stakeholders effectively during training sessions or committee meetings. You are comfortable working autonomously but equally adept at building inter-personal connections across departments fostering a communal approach towards achieving organisational goals.

• Bachelor's or Master's Degree in Law, Business Administration, Finance, Accounting or related disciplines is required for this role.
• Minimum 7 years of proven experience in compliance within asset management or financial services environments is essential.
• Strong knowledge of SEC regulations as well as fund management regulations is critical for success in this position.
• Experience in both investment compliance monitoring functions and advisory roles is highly preferred by the organisation.
• Sound understanding of compliance frameworks including risk assessments internal controls regulatory reporting processes is expected from candidates.
• Excellent analytical skills combined with problem-solving abilities are vital for investigating breaches exceptions recommending corrective actions.
• Outstanding communication skills stakeholder management report writing presentation capabilities are necessary for effective collaboration across teams.
• Ability to work independently while demonstrating strong co-operative skills when collaborating with business support functions is valued highly.

What sets this company apart:

This asset management organisation stands out for its unwavering commitment to nurturing a culture rooted in integrity transparency mutual respect among colleagues. Employees benefit from flexible working opportunities that accommodate diverse lifestyles enabling them to balance professional ambitions with personal commitments seamlessly. The company invests heavily in ongoing training opportunities empowering staff members at all levels to expand their knowledge base stay ahead of industry developments share insights collaboratively within supportive networks. Leadership here prioritises open communication encourages feedback fosters an inclusive environment where every voice is heard valued regardless of background or tenure. The organisation’s dedication extends beyond compliance—it aims to create lasting positive impact through responsible investing ethical decision-making practices that resonate throughout its operations making it an employer of choice within Thailand’s financial sector.

What's next:

If you are ready to make a meaningful difference by shaping compliance culture within a respected asset management organisation 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