AVP Fund Compliance

Responsibilities:

1) 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.

2) 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.

3) 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).

4) 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.

5) 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.

6) 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.