Head of Compliance
About this position
Responsibilities
• Develop and implement compliance policies and procedures to ensure adherence to local and international regulations.
• Monitor and report on regulatory changes, ensuring the exchange remains compliant with all relevant laws and guidelines.
• Communicate department policy and regulatory to relevant stakeholders to ensure they are aware of their roles in compliance.
• Lead and manage the Compliance team, providing training and guidance on compliance matters.
• Liaise with regulatory authorities such as the SEC, Anti-Money Laundering Office (AMLO), and other relevant bodies.
• Conduct compliance testing, monitoring, and tracking compliance issues.
• Conduct regular compliance risk assessments and audits to identify potential areas of vulnerability.
• Ensure compliance in accordance with AML/CFT by regulatory testing and transaction monitoring.
• Manage internal investigations related to compliance breaches and report findings to senior management.
• Develop and deliver compliance training programs to employees at all levels.
• Prepare reports for management and external regulators as requested.
• Act as the primary point of contact for all compliance-related inquiries, both internal and external.
• Complete other duties which were assigned by supervisor.
Requirements
• Bachelor’s degree or Master’s degree in Law, Finance, Business Administration, or a related field.
• At least 8 years of experience in Compliance in Bank or Financial Institutions, Experience in Digital assets or Cryptocurrency preferred.
• In-depth knowledge of Thai financial regulations, including SEC, AMLO, BOT.
• Good command of spoken and written Thai/English.
• Proactive working style, can do attitude, Problem solving and teamwork players.
• Excellent analytic skills, Strong communication skills and presentation skills.