Head of Compliance at moomoo

Bangkok, , Thailand -

Full Time

Start Date

Immediate

Expiry Date

09 Mar, 26

Salary

0.0

Posted On

09 Dec, 25

Experience

10 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance Risk Management, Money Laundering, Terrorism Financing, Personal Data Protection, Bribery and Corruption, Corporate Governance, Regulatory Submissions, Audits, Inspections, KYC/EDD, Digital Onboarding, Leadership, Communication Skills, Thai Securities Brokerage, Fintech, Regulatory Engagement

Industry

Financial Services

Description

About the role Foundational HR role to establish Compliance policies and processes in Thailand Head of Compliance Responsibilities: Compliance Risk Management & Monitoring: Identifying and managing compliance risks, including money laundering, terrorism financing, personal data protection, and bribery and corruption risks. Managing Conflict of Interest and ensuring proper corporate governance. Analyzing the impact of regulatory and policy changes and communicating them throughout the organization. Establishing and reviewing compliance manuals and internal policies. Supervising business activities and personnel to ensure compliance. Developing and reviewing compliance programs and addressing non-compliance situations. Advisory & Effective Communication: Advising the board and senior management on compliance-related laws, rules, and standards. Ensuring proper dissemination of notifications from regulatory bodies. Maintaining communication with stakeholders within the organization. Continuous Training and Updates on Regulatory Developments: Providing training to employees on relevant regulatory requirements. Compliance & Integrity Culture: Promoting and monitoring the integrity of the organization. Advocating a compliance culture and providing guidance on compliance issues. Escalation and Reporting on Compliance Matters: Developing processes for escalating and reporting compliance matters. Highlighting compliance issues to the Board of Directors and senior management. Reporting breaches to regulatory bodies. Consequence Management on Breaches: Ensuring procedures are in place for identifying and dealing with breaches. Stakeholder Management: Acting as a liaison officer for regulatory engagements. Management of Department: Managing the department's day-to-day operations, including coaching and budget management. Ad-Hoc duties As per assigned from time to time Bachelor’s degree in Law, Finance, Business, or related field. Strong experience in compliance roles within Thai securities brokerage / fintech. Solid knowledge of SEC Thailand, SET/TSD/TFEX rules, and AMLO AML/CFT requirements. Experience handling regulatory submissions, audits, inspections, and preferably brokerage licensing applications. Familiar with PDPA, investor protection rules, KYC/EDD, digital onboarding, and conduct risk. Proven leadership and ability to build a compliance function from the ground up. Strong communication skills with regulators and senior management. Language: Native/Fluent Thai and good English; Chinese is a plus for regional collaboration.

Responsibilities

The Head of Compliance will establish compliance policies and processes, manage compliance risks, and ensure adherence to regulatory requirements. This role involves advising senior management, providing training, and promoting a culture of compliance within the organization.