Assistant Manager/Manager, Fund Investment and Monitoring/ผู้ช่วยผู้จัดการ/ผู้จัดการ ด้านการลงทุนในกองทุนรวมและตรวจสอบ
Standard Chartered Bank (Thai) PCL.
jobsDB ref: JTH300003001246677
Employer Ref. 2654142800
- Review and give comment (if any) on the Fund Prospectus and brief the Fund Services Team.
- Set up the compliance rule in Multifond and maintained `outside¿ Multifond if the compliance rule cannot be accommodated by Multifonds. Ensure all the compliance rules are passed and trained to the Fund Services Team.
- Check if the new securities are investible in accordance with the Fund Prospectus and link the new securities into the compliance rule.
- Update necessary data in Multifonds used for compliance rule monitoring.
- Daily check compliance and exposure report by the next business day.
- Liaise with the client for the violations issues.
- Closely follow up response from clients for the violation reason before issuing a formal letter to SEC. Adhere to the deadline to be reported to SEC per SEC regulations.
- Through understand the SEC regulations and keep updated of the new regulations.
- Lead the discussion with the SEC in case of ambiguity of any SEC regulations. Document and follow up until clarification is obtained from SEC.
- Ensure that clients shall comply with the Fund Prospectus and the SEC regulations.
- Ensure that all necessary fund documents are kept in vault and document files as the case may be.
- Ensure that operations are efficiently managed in strict compliance with local laws and regulations and in line with Group Operation Risk Policy.
- In depth of Securities product preferably in Mutual Fund, operational and general banking operations and through knowledge of operations and rules of local Securities industry.
- In dept knowledge of risk management and sound knowledge of legal and credit control
- Tertiary education with minimum of 5 years of banking experience including 3 years in securities related industry
- Proven administrative, supervisory and interpersonal skills
- Ability to keep up and handle continuous changing market conditions and operating procedures/environments
- Wide range of contacts among stockbrokers, custodian banks and the Stock Exchange
- Excellent management, communication skills and all round leadership skills
- Good at English communication
jobsDB will send your application for review directly to Standard Chartered Bank (Thai) PCL.
About Standard Chartered Bank (Thai) PCL.
Standard Chartered is a leading international banking group operating for over 150 years in Asia, Africa and the Middle East. We’ve built a successful and sustainable business by playing a fundamental role in economies, helping people and businesses grow and achieve their aspirations. With over 89,000 employees representing 127 nationalities, we are committed to diversity and inclusion. We believe that a work environment which embraces diversity will enable us to get the best out of the broadest spectrum of people to sustain strong business performance and competitive advantage. By building an inclusive culture, each employee can develop a sense of belonging, and have the opportunity to maximise their personal potential.