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Compliance Manager

3 weeks ago

กรงเทพมหานคร, Thailand 1825 Full time

Job Description

Advisory/Regulatory Guidelines

To provide Regulatory advice to the business and Regulatory Liaison with business units to ensure that they are familiar with Compliance processes &, where relevant, give adequate training.

Ensure the AAM Plc Compliance Manual & its core Compliance Processes is kept under review & updated as & when necessary.

Where applicable, to advise business on statutory or foreign ownership limits.

To oversee a review is being taken in new mandate and existing mandate undergoing changes in the IMA / prospectus to ensure they can be monitored, coded on Charles River system and on-going changes in the fund guidelines are communicated to the relevant department / teams to make adjustment on the system and monitoring work plan.

Compliance Monitoring

Input into the development, maintenance & risk scoring of the Risk Based Compliance Monitoring programme, ensuring that the programme covers all relevant areas of regulated business.

Day to day responsibility to ensure delivery of the Compliance Monitoring Programme according to schedule & to the required standard as to methodology, accuracy and presentation.

Reporting of monitoring findings to business units & working with management to progress & resolve issues arising.

Compliance Training

To ensure the delivery of Compliance training & promote awareness of the Compliance culture throughout the business.

Provide mentoring & coaching to members of the Compliance Team in the performance of their various tasks.

Core Compliance Processes

Maintenance of core Group Compliance Processes including:
PA Dealing Procedures and Log - This includes obtaining broker's statement and annual statement of holding, reminding staff to sign-off Code of Ethics - Securities Transaction Report within 10 days after quarter-end and preparing quarterly returns on Access persons to the relevant US Closed End Fund Board and where applicable updating of statutory register - Form 15 within 7 days.

Gifts and Entertainments Procedures and Log

Restricted Deals Procedure and Log

Breaches Register and Log

Complaints Register and Log

Conflicts of Interest Procedure

Code of Ethics Procedures

Financial Promotions

Training and Competence

External

Representing AAM at various technical Compliance forums, reporting back & disseminating information where appropriate.

To assist & organise as requested, external compliance monitoring visits by regulators, clients, Trustees, Auditorsetc. To ensure that information is supplied in a timely manner, requests are dealt with, requests for information are responded to.

To respond to external queries e.g. From Trustees & regulators etc. in relation to areas of monitoring programme or processes which have been delegated as 'areas of responsibility'.

Participating in the tracking of the Compliance regime & how it affects AAM's business. Responsibility for projects in relation to Regulatory change as allocated.

To represent Aberdeen in meetings and due diligence visits by existing and prospective clients.

Others

From time to time, may be involved in other work that is critical to day to day operations locally such as registration of licences, processing the signing of legal contracts / agreements, and etc

Regular reporting

Input into Compliance papers / inserts in respect of internal controls / compliance reports, when needed for Board, Compliance, Global Risk meetings,

Ensure the timely completion of client, regulatory and internal reporting.

Role of Money Laundering Reporting Officer

Assisting in the provision of money laundering risk assessment for the Group Money Laundering Reporting Officer

Reporting Officer and his deputy to ensure AML monitoring is covered as appropriate.

Provision of advice on money laundering to the relevant line managers in the business units to meet local AML requirements.

To investigate and report on any suspicious transactions identified by members of staff or notified by outsourcers. Liaise with the relevant authorities to discharge organisation‘s obligation.

Team Management (where applicable)

To recruit and develop staff recognising department, team and individual needs

Delivery of a cost effective service

We’re committed to providing an inclusive workplace where all forms of difference are valued and which is free from any form of unfair or unlawful treatment. We define diversity in its broadest sense - this includes but is not limited to our diversity of educational and professional backgrounds, experience, cognitive and neurodiversity, age, gender, gender identity, sexual orientation, disability, religion or belief and ethnicity and geographical provenance. We support a culture that values meritocracy, fairness and transparency and welcomes enquiries from everyone.