We are looking for a Compliance Officer with 5+ years of experience in Thai fund or asset management to lead and strengthen the firm’s compliance function. This is a hands-on, business-integrated role working closely with management, fund managers, investment teams, and operations. The Compliance Officer ensures the firm and its funds operate in compliance with Thai SEC regulations, internal policies, and industry best practices; while advising on new fund products, business initiatives, and investment strategies to ensure they are actionable within regulatory boundaries. The role includes overseeing fund compliance and risk management, ensuring investment activities are conducted within established risk, credit, and liquidity frameworks, with robust controls, monitoring, and reporting to support sound governance and safeguard investor interests.
Key Responsibilities
• Lead and manage the compliance function for the firm and its managed funds, ensuring operational and regulatory integrity.
• Coordinate with regulators, auditors, and internal stakeholders to implement frameworks that enable fund-level execution and investment operations.
• Communicate regulatory updates, practical guidance, and compliance expectations to management, investment teams, and business units.
• Advise on new fund products, business initiatives, and investment strategies to ensure regulatory feasibility and operational implementation.
• Oversee conduct monitoring across AML/CFT, trade surveillance, staff dealing, and conflicts of interest to maintain operational discipline.
• Draft, review, and execute legal and operational documents supporting fund governance and corporate compliance.
• Act as company secretary, overseeing corporate governance, reporting, and statutory filings.
• Support fund operations, including subscription/redemption processes, NAV controls, and cross-asset considerations.
• Monitor ongoing risk exposures and provide oversight to ensure investment activities remain within approved limits, with regular updates to investment and risk committees to align with market conditions and business strategy.
• Identify compliance risks and implement practical controls, monitoring processes, and operational safeguards.
• Stay updated on regulatory changes and provide actionable guidance that empowers teams to execute investment strategies confidently.