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10 September 2019
Job ID: BK-132955
Vice President, Compliance (Investment Management)/Vice President, Compliance (Investment Management)

Job Description :

  • Develop & maintains Compliance Manual (Investment Management), monitor compliance & report on exception to local and regional management.
  • Monitor & report on Prospectus, local regulations etc.
  • Oversee establishment of client account, portfolios, etc. Ensure all documentation is signed and lodged with appropriate persons.
  • Daily monitor company investment for the fund under management in regard to the investment limitation as specified by the SEC and the fund’s project.
  • Report to the SEC and Trustee of the fund in case that investment is over the investment limitation.
  • Communicate and disseminate relevant laws, regulations, rules and notifications to employees.

Requirements : 

  • Master/ Bachelor degree in legal/business
  • At least 5-7 years experiences in Compliance (investment management) from Asset / Fund management company.
  • Good understanding of SEC regulations
  • Exposure to compliance issues and practice.
  • Excellent communication & writing skills.

Interested candidates please contact :

Human Resource Department
UOB Asset Management (Thailand) Co., Ltd.
23A, 25 Floor, Asia Centre Building, 173/27-30, 32-33 South Sathon Road,

Thungmahamek, Sathon, Bangkok 10120, Thailand
Tel : +66 2786 2000 Fax : +66 2786 2375

Website: www.uobam.co.th

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Job Details:

UOB Asset Management (Thailand) Co., Ltd.(“UOBAMTH”)
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