Fund Services and Control

1 week ago

กรงเทพมหานคร, Thailand ธนาคารเกียรตินาคินภัทร จำกัด Full time

**All positions require a criminal background check.**
- Operations

**Fund Services and Control**:

- Date: 3 Mar 2025
- Location: Bangkok, Thailand
- Company: Kiatnakin Phatra Bank Public Company Limited

**Job Summary**:
This role involves providing fund management services and ensuring compliance by monitoring and controlling investment ratios in the system, reviewing reports, and ensuring they align with project guidelines or SEC (Securities and Exchange Commission) announcements.

**Role and Responsibilities / หน้าที่ความรับผิดชอบ**:
**Key Responsibilities**:

- **Database Creation and Management***:

- Create and manage customer and mutual fund/fund databases in systems such as CTS, Megara, and Multifonds
- Establish databases for counterparties, issuers, and securities in CTS, Megara, and Multifonds
- Develop and maintain investment compliance rules.
- **Customer and Securities Database Monitoring**
- Review and maintain customer and securities databases.
- Verify the qualifications of securities to ensure compliance with project requirements.
- **Compliance and Investment Limits**
- Review and monitor investment ratio reports, including single entity limits, group limits, product limits, and concentration limits.
- **Transaction Approval**
- Provide approval for transactions related to the role of acting as a fund trustee.
- **Regulatory Compliance Monitoring**
- Ensure the fund management company fulfills its duties and responsibilities as stated in the fund management project
- Monitor compliance with Section 125 of the Securities and Exchange Act B.E. 2535.
- Track new rules and announcements from the SEC, the Association of Investment Management Companies, or the Bank of Thailand.
- **Regulation Updates and Training**
**-**Keep updated on rules and announcements from the SEC, the Association of Investment Management Companies, or the Bank of Thailand.
- Conduct training sessions for department staff to ensure a clear understanding of relevant regulations.

**Qualifications / คุณสมบัติ**:
**Education**
- Bachelor's degree or higher in Finance, Law, Economics, Business Administration, or a related field.

**Experience**:

- Overall Work Experience: 1-5 years in relevant fields with knowledge of securities laws and regulations.
- Direct Experience: 1-5 years in the securities business. Prior experience in fund compliance is a plus.

**Skills and Attributes**:

- Strong understanding of mutual funds, private funds, or securities-related regulations.
- Ability to conduct training and communicate relevant regulations effectively to staff.
- Excellent interpersonal and coordination skills to collaborate with internal and external stakeholders.
- Experience in fund compliance will be considered an advantage.

**Specific knowledge and skill / ความรู้เฉพาะตำแหน่ง**:

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