About Us

We are a digital brokerage with an established presence across multiple international markets.

As part of our European expansion, we are establishing a new regulated investment business in Thailand and are looking for an experienced Head of Compliance to lead the compliance workstream throughout the licensing process and build the compliance function following authorization.

As Head of Compliance, Thailand, you will lead the development and implementation of the compliance framework for our Thailand business, ensuring alignment with applicable local regulatory requirements and Group compliance standards.

You will work closely with local management, Group Compliance, Legal, external advisors and relevant regulatory authorities to support the establishment and growth of our Thailand operations. You will play a key role in building the local compliance function, advising the business on regulatory matters and fostering a strong compliance culture as the business scales.

What You'll Do

Regulatory Compliance & Engagement

Lead the local compliance workstream for the establishment and development of our Thailand business, including regulatory applications, licensing-related matters and ongoing regulatory obligations, where applicable.
Maintain effective engagement with relevant Thai regulatory authorities, including the Securities and Exchange Commission of Thailand (SEC Thailand) and other applicable authorities.
Monitor regulatory developments and assess their implications for the business, ensuring timely implementation of relevant regulatory requirements.
Advise local management and Group stakeholders on regulatory obligations, compliance risks and appropriate mitigation measures.
Coordinate regulatory submissions, inspections, information requests and other regulatory engagements.

Compliance Framework & Governance

Establish, implement and maintain the local compliance framework, policies, procedures and governance arrangements in line with applicable Thai regulations and Group standards.
Develop and oversee compliance monitoring and testing programs to assess the effectiveness of internal controls and identify potential compliance gaps.
Provide compliance guidance on products, customer onboarding, trading activities, marketing materials, customer communications and new business initiatives.
Oversee compliance issue management, remediation plans, regulatory reporting and escalation of material compliance risks.
Promote a strong compliance culture through training, awareness initiatives and regular engagement with business stakeholders.

Risk Management & Cross-functional Collaboration

Work closely with Risk, Legal, Operations, Finance, Technology and Group Compliance to ensure compliance considerations are embedded in business processes and product development.
Assess regulatory and conduct risks associated with brokerage and investment services, including customer protection, suitability and appropriateness requirements, where applicable.
Oversee relevant compliance controls relating to market conduct, conflicts of interest, personal account dealing and other applicable regulatory obligations.
Support the development and maintenance of effective internal controls and risk management practices across the local business.
Serve as the key local compliance contact, providing practical and commercially balanced advice while maintaining regulatory integrity.

Local Function Building & Leadership

Build and develop the local compliance function, establishing clear responsibilities, processes and operating procedures to support business growth.
Determine compliance resourcing and capability requirements as the business expands.
Work closely with Group Compliance to align local practices with global policies while addressing Thailand-specific regulatory requirements.
Develop and deliver compliance training for employees and relevant stakeholders.
Support the business in maintaining operational readiness for regulatory inspections, audits and other supervisory activities.

What We're Looking For

10+ years of relevant experience in compliance within financial services, ideally in securities brokerage, investment services, wealth management, fintech or other regulated financial institutions.
Strong knowledge of the Thai regulatory framework applicable to securities and investment businesses, particularly SEC Thailand requirements and relevant securities laws and regulations.
Experience engaging directly with local regulators and managing regulatory submissions, licensing processes, inspections or ongoing supervisory matters.
Proven track record in establishing or enhancing compliance frameworks, policies, monitoring programs and governance structures.
Strong understanding of brokerage business models, trading activities, customer protection and market conduct requirements.
Experience partnering with senior management and cross-functional teams to manage regulatory risks and implement practical compliance solutions.
Demonstrated ability to build and develop a local compliance function in a growing or evolving business.
Strong stakeholder management, communication and problem-solving skills, with the ability to balance commercial objectives and regulatory requirements.
Fluent Thai and English required; proficiency in Chinese is an advantage.
Hands-on, pragmatic and comfortable working in a fast-paced, international environment.

The Opportunity

This is an opportunity to take ownership of local compliance framework development, regulatory engagement and compliance function building, working closely with regional leadership to support the sustainable growth of a global fintech business.

Head of Compliance- Digital Brokerage