Fund Control and Compliance
Kiatnakin Phatra Financial Group
- Database Creation and Management
- Create and manage customer and mutual fund/fund databases in systems such as CTS, Megara, and Multifonds
- Establish databases for counterparties, issuers, and securities in CTS, Megara, and Multifonds
- Develop and maintain investment compliance rules. - Customer and Securities Database Monitoring
- Review and maintain customer and securities databases.
- Verify the qualifications of securities to ensure compliance with project requirements. - Compliance and Investment Limits
- Review and monitor investment ratio reports, including single entity limits, group limits, product limits, and concentration limits. - Transaction Approval
- Provide approval for transactions related to the role of acting as a fund trustee. - Regulatory Compliance Monitoring
- Ensure the fund management company fulfills its duties and responsibilities as stated in the fund management project
- Monitor compliance with Section 125 of the Securities and Exchange Act B.E. 2535.
- Track new rules and announcements from the SEC, the Association of Investment Management Companies, or the Bank of Thailand. - Regulation Updates and Training
- Keep updated on rules and announcements from the SEC, the Association of Investment Management Companies, or the Bank of Thailand.
- Conduct training sessions for department staff to ensure a clear understanding of relevant regulations.
- Bachelor's degree or higher in Finance, Law, Economics, Business Administration, or a related field.
- Overall Work Experience: 1-5 years in relevant fields with knowledge of securities laws and regulations.
- Direct Experience: 1-5 years in the securities business. Prior experience in fund compliance is a plus.
- Strong understanding of mutual funds, private funds, or securities-related regulations.
- Ability to conduct training and communicate relevant regulations effectively to staff.
- Excellent interpersonal and coordination skills to collaborate with internal and external stakeholders.
- Experience in fund compliance will be considered an advantage.
- Birthday Leave
- Dental insurance (สิทธิการเบิกค่าทันตกรรม)
- Life insurance (ประกันชีวิต)
- Medical insurance
- Provident Fund
- Work from home
- 5-day work week
- Social security
- Accident Insurance
- Flexible working hours
- Employee's uniform
- Annual trip or party
- Annual bonus
Kiatnakin Phatra Financial GroupThe establishment of Kiatnakin Phatra Financial Group (KKP) brought together knowledge and experience of commercial banking and capital markets businesses. The group comprises of Kiatnakin Phatra Bank PLC, Kiatnakin Phatra Securities PLC, Kiatnakin Phatra Asset Management Co., Ltd., and KKP Dime Securities Co., Ltd.
Our goal is to provide top-notch financial services while ensuring maximum benefits for customers, employees, and shareholders, and to contribute to the growth of the nation's financial markets and economy through our products and services, which encompass both money markets and capital markets.
KKP is committed to fostering opportunities for success. Here, you will have the chance to learn, develop, and realize your full potential. We believe in providing fulfilling rewards, promoting a fun work environment, and being proud to make a positive impact on society.
If you are looking for a work environment that offers you opportunities to grow for a better life, a better workplace, and a better future. Come and join us!
