AVP Fund Compliance (Bangkok, Bangkok, TH, 10500)

HSBC
Bangkok
Workplace: OnsiteFull timeFunction: Legal, Risk & ComplianceEducation: bachelorsSkills: ["Interpersonal skills","Team-oriented environment","Clear communication"]

Monitor and validate fund investment restriction rules across portfolio holdings, exposures, derivatives, and eligible assets. Manage and escalate potential breaches by investigating alerts, classifying incidents, and coordinating timely remediation. Translate prospectus and regulatory requirements into operational monitoring rules, support updates from document changes, and participate in due diligence. Produce periodic governance and compliance reports, improve controls and data quality, and act as a key stakeholder contact with clear communication across teams.

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FursaFursa
HSBC
HSBC
1 day ago

AVP Fund Compliance (Bangkok, Bangkok, TH, 10500)

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Source: Company careers pageValidated by: Fursa AI
Last checked: 3 hours agoStatus: Live

Job Summary

Monitor and validate fund investment restriction rules across portfolio holdings, exposures, derivatives, and eligible assets. Manage and escalate potential breaches by investigating alerts, classifying incidents, and coordinating timely remediation. Translate prospectus and regulatory requirements into operational monitoring rules, support updates from document changes, and participate in due diligence. Produce periodic governance and compliance reports, improve controls and data quality, and act as a key stakeholder contact with clear communication across teams.
Location: Bangkok
Workplace: Onsite
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Manager level

Key Responsibilities

  • •Review portfolio holdings, exposures, derivatives, counterparty and concentration limits, and validate restriction rule coding/parameters in monitoring systems.
  • •Perform daily/periodic restriction monitoring, investigate alerts, classify breaches, and coordinate remediation with Investment Manager/Portfolio Management and stakeholders.
  • •Interpret fund documentation and translate prospectus/regulatory requirements into operational monitoring rules, supporting updates from document and regulatory changes and delegated oversight.
  • •Produce periodic compliance monitoring reports and support fund board/management reporting packs and ad-hoc queries from internal stakeholders and auditors.
  • •Perform reconciliations and reasonableness checks, identify control gaps, drive process improvements/automation, and support UAT/testing for system enhancements and new fund launches.

Key Requirements

  • •Bachelor's degree in Economics, Finance, or a related field.
  • •Knowledge of 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.
  • •Fluency in Thai and English is preferred.
Education:Bachelor's in Economics, Finance, or other related fields
Skills:Interpersonal skillsTeam-oriented environmentClear communication
Languages:ThaiEnglish

Company Brief

HSBC
Global banking and financial services organisation offering retail, commercial, corporate and investment banking, wealth management, and global markets services across Europe, Asia, the Americas and the Middle East.
Industry: Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: London, United Kingdom
Founded: 1865
Glassdoor
Glassdoor: 3.6
WebsiteLinkedIn