About the role
We are looking for an experienced Head of Dealing to lead and oversee the dealing function of a fast-growing fintech and securities business in Thailand.
This is a leadership role responsible for building and managing the dealing operation, overseeing trade execution and client risk, ensuring regulatory and internal compliance, and working closely with Product, Operations, Technology, Compliance, and Business teams to support the growth of the platform.
The ideal candidate should have strong knowledge of securities and trading products, hands-on dealing experience, sound risk management judgment, and the ability to build processes and teams in a fast-paced fintech environment.
Head of Dealing
Responsibilities
Dealing & Trading Operations
- Lead and oversee the daily dealing function, ensuring smooth, timely, and accurate execution of client trades across local and offshore markets.
- Oversee dealing activities covering equities, ETFs, futures, options, mutual funds, and other products offered by the company.
- Establish and maintain dealing procedures, workflows, controls, and escalation processes to support a scalable dealing operation.
- Oversee trade-related inquiries, execution issues, order handling, and operational incidents.
- Ensure effective application of the company's Best Execution Policy and dealing standards.
Risk Management & Client Exposure
- Oversee monitoring of client portfolios, trading limits, margin requirements, margin calls, and overall risk exposure.
- Establish appropriate dealing controls and escalation mechanisms for high-risk or exceptional trading activities.
- Work closely with Risk, Compliance, and Operations teams to identify and resolve potential trading and operational risks.
- Ensure timely and appropriate action on margin-related and risk-related issues.
Regulatory & Compliance
- Ensure the dealing function operates in accordance with SEC Thailand, SET, applicable regulatory requirements, and internal Group policies.
- Maintain appropriate dealing controls, records, procedures, and documentation to support regulatory requirements and internal audits.
- Work closely with Compliance and other stakeholders on regulatory matters, control enhancements, and new product launches.
- Support the development and implementation of dealing policies and procedures as the business expands.
Team Leadership & Development
- Build, lead, and develop the dealing team as the business scales.
- Define team structure, responsibilities, KPIs, shift arrangements, and operating procedures.
- Coach and develop dealers to ensure high standards of execution, risk awareness, client service, and regulatory compliance.
- Establish a strong control-oriented and client-focused dealing culture.
Platform & Product Collaboration
- Work closely with Product and Technology teams to improve trading workflows, dealing tools, and platform functionality.
- Provide professional dealing and market expertise during the development and launch of new products and trading features.
- Identify recurring trade-related issues and provide recommendations for system and process improvements.
- Act as a key business stakeholder for dealing-related product requirements and enhancements.
Business & Market Support
- Provide market and dealing expertise to support business growth and new product initiatives.
- Collaborate with Marketing and Investor Education teams on market insights, educational content, webinars, seminars, and platform demonstrations where appropriate.
- Support the development of processes and capabilities required for future products and markets.
Operational & Strategic Leadership
- Develop the overall dealing strategy and operating model in line with business growth and regulatory requirements.
- Establish appropriate business continuity and contingency arrangements for dealing operations.
- Monitor dealing performance, operational risks, incidents, and key performance indicators.
- Identify opportunities to improve efficiency, client experience, controls, and scalability.
- Perform other duties and strategic projects as assigned.
Requirements
- 7+ years of relevant experience in dealing, securities trading, brokerage, or financial services, with proven experience in a senior or leadership capacity.
- Strong hands-on knowledge of dealing operations, trade execution, margin, risk management, and securities products.
- Experience covering offshore markets is highly preferred, particularly US equities and other international markets.
- Experience with equities, ETFs, futures, options, mutual funds, and other investment products is an advantage.
- IC Complex 1 or IP License is required.
- Strong understanding of SEC Thailand, SET rules, securities regulations, and dealing controls.
- Proven ability to establish processes, controls, and operating procedures in a growing or changing environment.
- Strong leadership, stakeholder management, and cross-functional collaboration skills.
- Ability to make sound decisions under pressure and manage trading or operational incidents effectively.
- Strong analytical, problem-solving, and risk-management capabilities.
- Excellent communication and business negotiation skills.
- Proficiency in English is required; Mandarin is an advantage.
- Experience in a fintech, digital brokerage, securities platform, or other technology-driven financial services environment is highly preferred.
- Willingness to support trading operations outside standard business hours, including night shifts and public holidays, where required.
Benefits
We offer a comprehensive and holistic work experience and package as follows:
- Competitive compensation and benefits.
- Fun loving and diverse work environment
- Business casual work attire everyday
Please note that only short-listed candidates will be contacted.
