Compliance Officer

We are looking for a contract compliance officer at a Thailand-based digital asset portal start-
up. The firm is envisioned to be an ICO portal, a digital asset advisor, as well as a digital asset
research house, all of which constitute the first digital asset investment bank of its kind in
Thailand.

Although this position reports to CEO of the firm, this officer is expected to work
independently and without extensive supervision in order to generate his/her own
compliance reports. This position is under a 4-month contract which can be renewed for with
a 1-month notice before the contract ends. The position will also lead to a permanent position
upon getting granted a full ICO portal license from Thailand’ Securities Exchange Commission
(SEC).

This is not a position for inexperienced officer and those without official writing background
should not apply. Only short-listed candidates will be contacted.

Key Responsibilities

• Arrange and organize an ICO portal application to submit to SEC within the first 2
months on the job and act as one of key personnel to liaise with SEC.
• Author the firm’s internal control manual in Thai and English to meet with SEC’s
requirements which include the following:
o Business continuity planning
o Compliance procedures
o Complaint management system
o Data storage system
o Data disclosure policy
o Privacy policy
• Author the risk management system for the new ICO portal
• Design a KYC system to filer investors and issuers in the ICO portal system
• Act as a gatekeeper for all the compliance issues related to SEC
• Effectively build and maintain relationship with executives/stakeholders within the
firm.

Qualifications

• Bachelor degree in a business- or legal-related field, preferably with Master’s Degree

in Law, Finance, Risk Management, or Accounting.
• 5+ years of work experience in operational risk management and/or compliance at a
reputable financial institution, preferably with experience dealing with regulators
such as Thailand’s Securities Exchange Commission
• Unquestionable integrity with impeccable compliance records
• Strong advocacy for environment, social development, and governance as a proper
way to invest
• Strong analytical and problem solving skills
• Excellent interpersonal skills
• Highly developed organizational skills, with a keen focus on attention to details
• Open-minded and strong will to introduce best practice
• International mind-set and experience working outside home country preferred
• Highly effective and fluent verbal, written and listening communications skills in Thai
and English which can be translated into the ability to present ideas and answer
questions interchangeably in English and Thai.

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