Head of Compliance (Securities Brokerage) Up to 200K

Head of Compliance (Securities Brokerage) Up to 200K

Posted 1 week ago

Our client is a well known securities brokerage company which now requires a Head of Compliance to be based in their Bangkok office.

The group provides a variety of financial products and services not focusing solely on securities but also on banking, insurance and asset management.

In this role you will have sole responsibility for all areas of compliance. You will need to be a hands on individual and be able to focus on your own individual tasks but also manage your own individual team members. A key aspect of this role is coordinating with other department heads and the top management for the group.


  • Implementing, reviewing and monitoring Corporate Policy and Procedures to ensure that the company is complying with the regulations.
  • Oversight and ensure all the policies of internal procedures and outsourced agencies are compliant with internal compliance policies, laws and regulations of related regulators.
  • Performing role as a consultant to Senior Management on corporate compliance and regulatory.
  • Reporting work with the head department and top management on identification of potential compliance risks to minimize the risks.
  • Establishing compliance strategies including all the training to ensure that the employees are aware and understand all compliance policies and procedures.
  • Supervising and coaching subordinates to ensure that their supports are aligned with the regulators procedures.


  • Bachelor’s Degree or Master’s degree in Business Administration or related fields with approximately 7-10 years working experience in compliance and internal audit with securities industry is favorable.
  • At least 5 years working experience in management position is required. 
  • Having a strong knowledge of SEC and SET regulations.
  • Possess good judgement, logic, and ability to multi-task and strong personality.
  • Being a consultative with a strong judgement and the abilities to manage the conflicts as well as retaining the relationships.
  • Good communication in English both of writing and speaking

If you have the relevant experience and would like to be considered for this position please apply ASAP or please call 02-653-6980-7 ext.120 (Daniel) 

Job Features

Job CategoryFinancial Services
Job LevelSenior Level
Yr(s) of Exp8+ yrs
Company IndustryFinancial Services
Salary RangeUp to 200K

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