We are a newly established fintech company building innovative and compliant financial solutions. We are looking for a Senior Compliance Officer to lead and shape our compliance framework from the ground up. This role is critical in ensuring regulatory adherence, managing risk, and embedding a strong compliance culture as the business scales.

Responsibilities

Design, implement, and maintain the company’s compliance framework, policies, and procedures in line with regulatory requirements.
Act as the primary point of contact with regulators, auditors, and external advisors.
Monitor regulatory developments and assess their impact on the business, ensuring timely implementation of required changes.
Coordinate and maintain AML, CFT, KYC, and customer due diligence controls.Conduct compliance reviews, risk assessments, and internal controls testing.
Provide compliance advice and guidance to management and business teams.
Support new product launches and business initiatives by identifying and mitigating regulatory risks.
Deliver compliance training and promote a strong compliance culture across the organization.
Prepare and submit regulatory reports and documentation as required.

Requirements

Bachelor’s degree in Law, Finance, Business, or related field.
Minimum 3–5 years of compliance experience within fintech, financial services, banking, or securities.
Native Thai and good English
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.
Experience setting up or enhancing compliance frameworks is highly preferred.
Ability to work independently in a fast-paced, start-up environment.
Strong communication, stakeholder management, and problem-solving skills.

Senior Compliance Officer

TLDR