About the role
About the role Foundational HR role to establish Compliance policies and processes in Thailand
Head of Compliance
Responsibilities:
Compliance Risk Management & Monitoring:
- Identifying and managing compliance risks, including money laundering, terrorism financing, personal data protection, and bribery and corruption risks. - Managing Conflict of Interest and ensuring proper corporate governance. - Analyzing the impact of regulatory and policy changes and communicating them throughout the organization. - Establishing and reviewing compliance manuals and internal policies. - Supervising business activities and personnel to ensure compliance. - Developing and reviewing compliance programs and addressing non-compliance situations.
Advisory & Effective Communication:
- Advising the board and senior management on compliance-related laws, rules, and standards. - Ensuring proper dissemination of notifications from regulatory bodies. - Maintaining communication with stakeholders within the organization.
Continuous Training and Updates on Regulatory Developments:
- Providing training to employees on relevant regulatory requirements.
Compliance & Integrity Culture:
- Promoting and monitoring the integrity of the organization. - Advocating a compliance culture and providing guidance on compliance issues.
Escalation and Reporting on Compliance Matters:
- Developing processes for escalating and reporting compliance matters. - Highlighting compliance issues to the Board of Directors and senior management. - Reporting breaches to regulatory bodies.
Consequence Management on Breaches:
- Ensuring procedures are in place for identifying and dealing with breaches.
Stakeholder Management:
- Acting as a liaison officer for regulatory engagements.
Management of Department:
- Managing the department's day-to-day operations, including coaching and budget management.
Ad-Hoc duties As per assigned from time to time
Requirements
- Bachelor’s degree in Law, Finance, Business, or related field. - Strong experience in compliance roles within Thai securities brokerage / fintech. - Solid knowledge of SEC Thailand, SET/TSD/TFEX rules, and AMLO AML/CFT requirements. - Experience handling regulatory submissions, audits, inspections, and preferably brokerage licensing applications. - Familiar with PDPA, investor protection rules, KYC/EDD, digital onboarding, and conduct risk. - Proven leadership and ability to build a compliance function from the ground up. - Strong communication skills with regulators and senior management. - Language: Native Thai and Fluent English; Chinese is a plus for regional collaboration.
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