About the role

We are looking for an experienced Head of Dealing to lead and oversee the dealing function of a fast-growing fintech and securities business in Thailand.

This is a leadership role responsible for building and managing the dealing operation, overseeing trade execution and client risk, ensuring regulatory and internal compliance, and working closely with Product, Operations, Technology, Compliance, and Business teams to support the growth of the platform.

The ideal candidate should have strong knowledge of securities and trading products, hands-on dealing experience, sound risk management judgment, and the ability to build processes and teams in a fast-paced fintech environment.

Head of Dealing

Responsibilities

Dealing & Trading Operations

Lead and oversee the daily dealing function, ensuring smooth, timely, and accurate execution of client trades across local and offshore markets
Oversee dealing activities covering equities, ETFs, futures, options, mutual funds, and other products offered by the company
Establish and maintain dealing procedures, workflows, controls, and escalation processes to support a scalable dealing operation
Oversee trade-related inquiries, execution issues, order handling, and operational incidents
Ensure effective application of the company's Best Execution Policy and dealing standards

Risk Management & Client Exposure

Oversee monitoring of client portfolios, trading limits, margin requirements, margin calls, and overall risk exposure
Establish appropriate dealing controls and escalation mechanisms for high-risk or exceptional trading activities
Work closely with Risk, Compliance, and Operations teams to identify and resolve potential trading and operational risks
Ensure timely and appropriate action on margin-related and risk-related issues

Regulatory & Compliance

Ensure the dealing function operates in accordance with SEC Thailand, SET, applicable regulatory requirements, and internal Group policies
Maintain appropriate dealing controls, records, procedures, and documentation to support regulatory requirements and internal audits
Work closely with Compliance and other stakeholders on regulatory matters, control enhancements, and new product launches
Support the development and implementation of dealing policies and procedures as the business expands

Team Leadership & Development

Build, lead, and develop the dealing team as the business scales
Define team structure, responsibilities, KPIs, shift arrangements, and operating procedures
Coach and develop dealers to ensure high standards of execution, risk awareness, client service, and regulatory compliance
Establish a strong control-oriented and client-focused dealing culture

Platform & Product Collaboration

Work closely with Product and Technology teams to improve trading workflows, dealing tools, and platform functionality
Provide professional dealing and market expertise during the development and launch of new products and trading features
Identify recurring trade-related issues and provide recommendations for system and process improvements
Act as a key business stakeholder for dealing-related product requirements and enhancements

Business & Market Support

Provide market and dealing expertise to support business growth and new product initiatives
Collaborate with Marketing and Investor Education teams on market insights, educational content, webinars, seminars, and platform demonstrations where appropriate
Support the development of processes and capabilities required for future products and markets

Operational & Strategic Leadership

Develop the overall dealing strategy and operating model in line with business growth and regulatory requirements
Establish appropriate business continuity and contingency arrangements for dealing operations
Monitor dealing performance, operational risks, incidents, and key performance indicators
Identify opportunities to improve efficiency, client experience, controls, and scalability
Perform other duties and strategic projects as assigned.

Requirements

7+ years of relevant experience in dealing, securities trading, brokerage, or financial services, with proven experience in a senior or leadership capacity
Strong hands-on knowledge of dealing operations, trade execution, margin, risk management, and securities products
Experience covering offshore markets is highly preferred, particularly US equities and other international markets
Experience with equities, ETFs, futures, options, mutual funds, and other investment products is an advantage
IC Complex 1 or IP License is required
Strong understanding of SEC Thailand, SET rules, securities regulations, and dealing controls
Proven ability to establish processes, controls, and operating procedures in a growing or changing environment
Strong leadership, stakeholder management, and cross-functional collaboration skills
Ability to make sound decisions under pressure and manage trading or operational incidents effectively
Strong analytical, problem-solving, and risk-management capabilities
Excellent communication and business negotiation skills
Proficiency in English is required; Mandarin is an advantage
Experience in a fintech, digital brokerage, securities platform, or other technology-driven financial services environment is highly preferred
Willingness to support trading operations outside standard business hours, including night shifts and public holidays, where required

Benefits

We offer a comprehensive and holistic work experience and package as follows:

Competitive compensation and benefits
Fun loving and diverse work environment
Business casual work attire everyday

Please note that only short-listed candidates will be contacted.