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Open nowFirst seen 5 days ago

Head of Compliance 2026

Kate Worthington706 open roles

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Your applicationOpen nowHead of Compliance 2026Kate Worthington

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Share of postings closed within
  1. 2.1%1 day
  2. 4.5%3 days
  3. 12.3%7 days
  4. 19.3%14 days
  5. 35.6%30 days
  6. 58.1%60 days
This job: first seen 5 days ago

The posting

ROLE OVERVIEW

The Head of Compliance will be responsible for overseeing the Thailand compliance framework, regulatory engagement, and compliance advisory activities across the Thailand business.

The role will also support regional and Group compliance initiatives, including cross-border product launches, regional governance projects, and ownership of a selected compliance domain or centre-of-excellence area (for example marketing compliance, conduct governance, outsourcing governance, AI governance or product advisory).

The role requires strong regulatory judgment, practical problem-solving capabilities, and the ability to work closely with product, marketing, operations, and technology teams in a highly collaborative environment.

The successful candidate will act as the primary Compliance Lead for Thailand and work closely with the Group Compliance and Risk teams on regional governance initiatives, regulatory developments and strategic projects.

KEY RESPONSIBILITIES

THAILAND COMPLIANCE OVERSIGHT

  • Develop and implement a scalable regulatory framework across second-line compliance responsibilities to ensure SATH meets its regulatory and license obligations.
  • Oversee and maintain the Thailand compliance framework, policies, and controls and implement the compliance plans and monitoring program. Interpret and operationalize applicable in Thailand regulatory requirements, guidelines, and industry expectations
  • Act as the key liaison officer between SATH and SEC and provide regulatory advice and recommendations to the local and the Group business teams.
  • Keep abreast of regulatory changes/new regulatory developments and disseminate the same to the local and Group compliance teams and business.
  • Manage regulatory filings, notifications, inspections, thematic reviews, and information requests.
  • Advise on new product launches, customer journeys, digital features, campaigns, disclosures, and operational initiatives.
  • Review and advise on customer communications, disclosures, and marketing materials.
  • Support governance forums, committees, and risk reporting processes. Contribute to building scalable and technology-enabled compliance processes and ways of working.

GROUP & REGIONAL COMPLIANCE

  • Support regional and cross-border product launches and commercialization initiatives.
  • Act as a subject matter lead or centre-of-excellence owner for a selected compliance domain across the Group.
  • Collaborate with Compliance Officers across multiple jurisdictions on regional projects and thematic reviews.

KEY REQUIREMENTS

  • 7-8 years of compliance, legal, regulatory, or risk management experience within : Asset Management, Wealth Management, Securities, Fintech, Digital Advisory, Banking or related financialservices sectors.
  • Candidates must have either at least 2 years of direct Compliance experience, or 4 years of related experience, within the past 7 years in an asset management or securities company.
  • Degree in Law, Finance, Accounting, Economics, Business Administration, or other closely related professional qualifications.
  • Strong ability to communicate effectively in English and Thai (oral and written) is a MUST.
  • Informed of the relevant Securities and Exchange Commission and Bank of Thailand regulations and related regulations.
  • Strong analytical, problem-solving skills, attention to detail and the ability for regulatory advocacy.
  • Good knowledge of private fund management and wealth management practices, interest in fintech space.
  • Desire to work in a lean start-up & scale-up environment that empowers personal accountability.
  • Curious about technology, automation, AI, and evolving digital operating models.

WHO THRIVES IN THIS ROLE

  • Strong compliance professional who can balance regulatory requirements with business growth.
  • Comfortable working closely with product, tech and operations teams in a fast-moving fintech environment.
  • Hands-on and adaptable; able to thrive in lean teams without relying on large structures.
  • Curious about digital wealth, fintech, AI and scalable compliance processes.
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