VP Compliance Investment

URGENTLY REQUIRED Position : Title : Vice President, Compliance (Investment) Department : Legal & Compliance Department Job Description : • Develop, maintain, and periodically review the Compliance Manual covering investment management and operational activities. • Ensure compliance policies, procedures, and controls remain aligned with applicable regulatory requirements and industry best practices. • Communicate and disseminate relevant laws, regulations, rules, notifications, and regulatory updates to relevant staff and stakeholders. • Perform daily pre-trade and post-trade monitoring of investment restrictions and regulatory limits to ensure compliance with SEC regulations, fund prospectuses, investment policies, and client mandates. • Investigate, escalate, and follow up on compliance breaches or exceptions, including recommending appropriate corrective actions. • Prepare and monitor compliance exception reports and report significant issues to local and regional management. • Establish, maintain, and periodically review compliance rules and investment restrictions within investment management and compliance monitoring systems. • Provide compliance advice and guidance to investment, operations, product, and business teams on investment management activities, regulatory requirements, and compliance-related matters. • Conduct periodic monitoring reviews and compliance assessments to evaluate the effectiveness of internal controls relating to investment management and operations. • Identify control weaknesses and recommend enhancements to ensure compliance with regulatory requirements and internal standards. Requirements : • Master/ Bachelor degree in legal/business • At least 5-7 years experiences in Compliance from asset/ fund management company • Good understanding of SEC regulations • Exposure to compliance issues and practice. • Excellent communication & writing skills. Interested candidates please directly filling in the application to the UOB website by Contact : Human Resources UOB Asset Management (Thailand) Co., Ltd. 23A, 25 Floor, Asia Centre Building, 173/27-30, 31-33 South Sathon Road, Thungmahamek, Sathon, Bangkok 10120. Telephone : +66 (0) 2786-2000 Fax :+66 (0) 2786-2375 E-mail: thuobamhr@UOBgroup.com Website: www.uobam.co.th ## RESTRICTED ##