Head of Compliance

The Head of Compliance will be responsible for leading the firm’s compliance strategy, ensuring that all business activities align with the highest standards of integrity and regulatory requirements. This role serves as the primary liaison between the company and key regulators, including the SEC, SET, and AMLO. The ideal candidate will foster a culture of compliance, manage regulatory risks, and provide strategic advisory to business units regarding evolving laws and digital/financial regulations.Regulatory Oversight: Ensure absolute compliance with all applicable securities laws and regulations, specifically those mandated by the Securities and Exchange Commission (SEC), the Stock Exchange of Thailand (SET), and the Anti-Money Laundering Office (AMLO).Policy Development & Strategy: Lead the development, implementation, and continuous improvement of internal policies and procedures.Ensure these frameworks are robust enough to handle business changes while remaining strictly aligned with SEC and Bank of Thailand (BOT) related rules.Compliance Audit & Monitoring: Design and execute regular audit programs to monitor employee adherence to business activities. Ensure all operations reflect "Good Practice" and fully comply with both internal policies and external legal requirements.Stakeholder Management: Act as the key point of contact for external auditors and regulators.Facilitate smooth audit processes, address findings promptly, and manage the resolution of any identified compliance issues.Regulatory Intelligence: Maintain a proactive "horizon scanning" approach to stay updated on regulatory changes. Interpret complex legal shifts and provide timely, actionable communication to relevant business units to ensure seamless adaptation.Advisory: Provide expert guidance to the Board and senior management on the compliance implications of new products, services, or business ventures.Job QualificationBachelor’s or Master’s Degree in Law, Finance, Business Administration, or a related field. or professional certification in Compliance is highly preferred.Minimum of 10 years of experience in Compliance, Legal, or Internal Audit within the financial services industry (Securities, Banking, or Digital Assets).At least 5 years in a leadership or managerial role, overseeing regulatory affairs.Understanding of the Securities and Exchange Act, AML/CFT regulations, and BOT financial regulations.Proven experience dealing directly with Thai regulators (SEC, SET, AMLO)