TA - PVD Assistant Director

ROLE PURPOSE:

To lead and oversee AML/KYC and transfer agency operations, ensuring compliance with regulatory standards and internal policies. The role manages complex onboarding processes, monitors team performance, and drives policy development while maintaining strong relationships with internal and external stakeholders. Additionally, it provides strategic input on regulatory initiatives, supports legal and compliance activities, and represents the organization in industry committees and task forces.

KEY RESPONSIBILITIES OF THE ROLE:

• Review and approve AML/KYC documentation for diverse investor types, ensuring compliance with regulatory standards.
• Monitor adherence to policies and procedures, escalating non-compliance issues promptly to senior management and compliance teams.
• Review and escalate complex matters in a timely manner to senior onboarding management and compliance.
• Assist in drafting, updating, and maintaining departmental policies and procedures to align with regulatory changes.
• Maintain strong technical, industry, and regulatory knowledge; stay updated on market initiatives and train the team accordingly.
• Build and maintain effective relationships across departments and global locations, liaising with AML/KYC colleagues, selling agents, paying agents, AIMC, SEC, and Revenue Department.
• Oversee preparation of unitholder reporting for internal and external clients.
• Support legal, regulatory, and compliance activities, including frequent trading surveillance and maintenance of fund policies and procedures.
• Prepare and review regulatory reports for BOT, SEC, and Revenue Department as required.
• Others as may be assigned.
• Other assigned by team head and senior leaders.

QUALIFICATIONS and EXPERIENCE:

• Bachelor’s degree in related filed.
• 8-10 years experience in asset management industry.

TECHNICAL/ FUNCTIONAL SKILLS:

• Advanced knowledge of Provident Fund operations, including account opening, contributions, transfers, and reconciliation.

BEHAVIOURAL COMPETENCIES AND SKILLS:

• Leadership & Coaching: Ability to lead and develop teams effectively.
• Analytical Thinking: Evaluate operational risks and identify efficiency improvements.
• Problem-Solving: Resolve complex transaction and compliance issues promptly.
• Communication Skills: Build strong relationships internally and externally.