Head of Compliance

4 days ago

Bangkok, Bangkok, Thailand moomoo Full time

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

  • 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/Fluent Thai and good English; Chinese is a plus for regional collaboration.

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