Senior Compliance Officer

13 hours ago

Bangkok, Bangkok, Thailand moomoo Full time

We are a newly established fintech company building innovative and compliant financial solutions. We are looking for a Senior Compliance Officer to lead and shape our compliance framework from the ground up. This role is critical in ensuring regulatory adherence, managing risk, and embedding a strong compliance culture as the business scales.

Responsibilities

  • Design, implement, and maintain the company's compliance framework, policies, and procedures in line with regulatory requirements.
  • Act as the primary point of contact with regulators, auditors, and external advisors.
  • Monitor regulatory developments and assess their impact on the business, ensuring timely implementation of required changes.
  • Coordinate and maintain AML, CFT, KYC, and customer due diligence controls.Conduct compliance reviews, risk assessments, and internal controls testing.
  • Provide compliance advice and guidance to management and business teams.
  • Support new product launches and business initiatives by identifying and mitigating regulatory risks.
  • Deliver compliance training and promote a strong compliance culture across the organization.
  • Prepare and submit regulatory reports and documentation as required.

Requirements

  • Bachelor's degree in Law, Finance, Business, or related field.
  • Minimum 3–5 years of compliance experience within fintech, financial services, banking, or securities.
  • Native Thai and good English
  • 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.
  • Experience setting up or enhancing compliance frameworks is highly preferred.
  • Ability to work independently in a fast-paced, start-up environment.
  • Strong communication, stakeholder management, and problem-solving skills.

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