StashAway is looking for a Head of Compliance to be part of the Second Line of Defence team to support the business in ensuring compliance with applicable laws, regulations and internal policies, and in mitigating all forms of risks.
- Providing compliance and regulatory advisory on an ongoing basis including advice on existing and new Thailand banking regulations and relevant Securities and Exchange Commission regulatory requirements.
- Provide input to regulatory consultative papers and proposed rules/guidelines and amendments, and assist in complying with and implementing new applicable requirements – in particular, those related to the area of Foreign Exchange Administration Rules, Banking Secrecy, Outsourcing, Licensing, and Cross Border.
- Develop, maintain and update Group Compliance policies and procedures including the creation of customised processes to meet local regulatory requirements for new markets (e.g. Thailand) and updates to align with changing regulatory developments.
- Provide day-to-day advisory and support for StashAway Thailand and Group Compliance on regulatory developments.
- Support Group Compliance to facilitate Internal and External Audits in Thailand.
- Other aspects of the role include regulatory risk assessments, performing training and executing compliance testing (as needed).
- Assist with regulatory management, including reviews and routine regulatory inquiries.
- Undertake ad hoc compliance and risk management projects as required.
Only open to Thai Citizens or Permanent Residents.
- Degree in Law, Finance, Accounting or other closely related professional qualifications.
- Minimum 5 years working experience in Compliance or Risk management in the financial services industry and/or in a reputable law firm with specialisation in capital market and financial services.
- Sound knowledge and experience of AML/CTF regulations to provide subject-matter-expertise.
- Knowledge of fund and wealth management practices and rules in Thailand and the region (particularly, Singapore) is a plus.
- Informed of relevant Bank of Thailand and Securities and Exchange Commission's regulations and related regional regulations (particularly, Singapore).
- Excellent interpersonal and influencing skills, and multicultural awareness.
- Strong analytical, problem solving, management and organisational skills.
- Ability to demonstrate strong organisational skills, attention to detail, and adherence to strict deadlines in a highly regulated industry.
- Ability to multi-task and adapt to changing and competing priorities in a startup environment.
- Strong ability to communicate effectively in English and Thai (oral and writing).
- Ability to work independently and pro-actively take ownership.
- Ability to maintain an open mindset to learn