Job Search

We work with thousands of candidates to help them find the right fit for their next role. Our job search platform will connect you to the latest available positions across Asia. Let us do the same for you.

Head of Compliance

Permanent Position
27 Dec 2019
Expires on 26 Jan 2020

Company Description

International securities company

Posted by

Vicky T.


+66 8 2 6724555


Job Description

  • Ensuring the compliance to the internal and regulatory standards and requirements

    • Actively monitoring the business and operations of securities business
    • Provide advice and guidance on compliance matters with relevant party including the New product.
    • Periodic review of the sensitive areas
    • Holding formal/informal meetings/discussions with supervisory
    • Closing gap about regulatory and internal issue.
    • Learning and study new regulation and summarize to relevant party to comply with
    • Review of manuals/ framework/guidelines

  • Review of manuals/ framework/guidelines

    • Assisting business units and support units in preparing the manuals, setting an appropriate time frame

  • Investigations of complaints/frauds

    • Monitoring and attending the complaints/frauds
    • Conducting Surprise Review independently to high compliance risk areas
    • Identify the weaknesses in relation to internal control and recommend for improvement
    • Submit report to Audit Committee
  • Responsible to review compliance tools ​​​​​​​

    • Analyzing all relevant information/issues
    • Identifying weakness in internal controls
    • Setting up of appropriate timeline completion of recommended framework
  • ​​​​​​​Propose the issue  and/or new regulation to ACB / Thai Exco / BOD



  • At least 15 years of compliance experience especially in securities, banking, insurance and related field
  • Fluent English communication
  • Team Management ability
  • Excellent interpersonal and communication skill to collaborate with internal and external stakeholders


Good to have:-

  • Have obtained AMLO certificate
  • Have obtained Anti-Corruption certificate
  • Have obtained Head of Compliance certificate

First Name

Last Name

Contact No.

Email Address