AVP Fund Compliance

Responsibilities:

• Investment Restrictions Monitoring: Review portfolio holdings, exposures, derivatives, counterparty and concentration limits, eligible asset rules, etc (as relevant to the fund type). Validate restriction rule coding/parameters in monitoring systems and ensure rules reflect the latest prospectus and regulatory requirements.
• Breach Management & Escalation: Perform daily/periodic monitoring of investment restrictions. Investigate alerts and determine whether they represent true breaches, near-breaches, or false positives (data/market movement/system issues). Classify breaches (e.g., active vs passive; pre-trade vs post-trade; regulatory vs prospectus; materiality assessment). Coordinate timely remediation actions with the Investment Manager/Portfolio Management team and other stakeholders. Maintain breach logs, evidence, root-cause analysis, and closure documentation. Escalate breaches in line with governance requirements to senior management, risk/compliance, depositary/trustee (where applicable), and relevant committees.
• Prospectus & Regulatory Oversight: Interpret fund documentation and translate requirements into operational monitoring rules. Support updates arising from prospectus changes, new sub-funds, strategy changes, or regulatory updates. Participate in due diligence and oversight of delegated parties/service providers (e.g., investment manager, administrator, risk provider).
• Reporting & Governance: Produce periodic compliance monitoring reports (daily/weekly/monthly/quarterly). Support fund boards/management company reporting packs and respond to ad-hoc queries from internal stakeholders and auditors. Contribute to governance forums (e.g., breach committees, valuation/operational risk meetings) with clear, decision-ready summaries.
• Controls, Data Quality & Process Improvement: Perform reconciliations and reasonableness checks on positions, exposures, reference data, and corporate actions impacting restrictions. Identify control gaps and drive process improvements/automation to reduce manual effort and operational risk. Support UAT/testing for system enhancements, rule changes, and new fund launches/migrations. Maintain procedures, desk instructions, and control documentation aligned to operational risk standards.
• Stakeholder Management: Act as a key point of contact in relation to Fund investment monitoring to both internal stakeholders/clients. Communicate clearly and professionally with cross-border teams; manage timelines and expectations during breach events.

Qualifications:

• Bachelor's degree in Economics, Finance, or other related fields.
• Knowledge in securities services business and SEC rules and regulations.
• Strong understanding of fund structures and documentation (prospectus).
• Knowledge of investment instruments (equities, fixed income, FX, derivatives, funds, structured products) and how exposures are calculated.
• Excellent interpersonal skills and a desire to work in a team-oriented environment.
• Fluency in both Thai and English is preferred.