# Head of Compliance

> moomoo · Bangkok, Thailand · Full-time · Posted 2026-10-30

**Workplace:** on_site

## 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

## Requirements

-   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 Thai and Fluent English; Chinese is a plus for regional collaboration.

## Apply

[Apply at moomoo](https://apply.workable.com/moomoo/j/4BB9709E1D/apply)

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