Careers

Key Responsibilities

Advise, guide and support all departments’ operating systems to comply with rules and regulations of the SEC, AIMC and related regulators in asset management business. Prepare procedures to implement policies adopted, facilitate the development of policies, operating procedures to carry out its business strategies in compliance with applicable laws and regulations. Perform compliance checks on regulatory requirements. Responsible for internal   Oversee compliance activities and issues (compliance incidents/customer complaints), review and update internal compliance policies and procedures, provide advice to all Business Units (BUs)

• Assess and review in accordance with Compliance Monitoring Program for exceptions and weaknesses in departmental compliance and operational process to ensure the company’s compliance with legal, regulations, and rules.
• professional organizations or even a company's internal guidelines
• Conducting operational audit as assigned
• Understanding levels of potential risks and how to address each risk
• Supervise and coaching team
• Internal training to company employee and subordinates
• Performing data analysis or quality assurance
• Assist in the preparation for coordinate and assist in the response to S.E.C. and related regulators examinations as required
• Support other tasks as assigned

Qualifications

• Master’s degree in Accounting, Business Administration, Finance, Economics or related fields
• At least 5-7 years’ experience in Asset Management business including related regulatory and compliance /Market Risk/Investment Risk will be an advantage.
• Great interpersonal and communication skills. Reliable, open minded and ability to effectively collaborate with diverse people such as business units.
• Ability to prioritize, manage time and work under pressure.
• Strong financial and Risk modelling Analytics skills, and monitor trading activities to comply with Risk Control of Portfolio
• Good in English speaking and writing
• Good in computer skills and standard computer programs

Qualifications

• An individual with a valid Investment Consultant (IC) or Investment Planner (IP) license.
• Currently not employed full-time by any commercial bank or financial institution, except for insurance companies.
• No history of being deregistered as a customer consultant.
• No legal prohibitions as specified by law.
• Possess a client base that invests in mutual funds and private funds.

Qualifications

• Thai nationality, Bachelor’s degree in Finance or MBA in related fields.
• CISA or CFA and Fund Manager License.
• At least 3-5 years experience in portfolio management , financial model , financial analysis and stock valuations Possess extensive.
• Knowledge in Accounting and strong analytical skill in Equity and Foreign Investment Funds.
• Strong analytical, presentation and communication skill, can work effectively in team player with proven ability to work independently and under pressure.
• Good command of written and spoken English.
• Computer literate with proficient skills in MS Office.

Qualifications

• Thai national with a bachelor degree in Accounting, Finance, Business Administration , Legal and related field.
• At least 0-1 years experience in compliance, Internal Audit or law would be advantage.
• Good personality and can-do attitude, detail oriented and ability to meet deadlines.
• Good command of written and spoken English.
• Good Command to operate PC Microsoft Office (Word, Excel, and Power point).

Qualifications

• Thai nationality, Bachelor’s or Master degree in Finance, Marketing or related fields.
• Age 30 – 35 years.
• At least 5 years experience in Asset Management Industry.
• Single License is a must and Investment Planner (IP License) will be an advantage.
• Able to work in a competitive environment and successfully achieve sales target.
• Pleasant personality, strong communication skills and excellent service mind
• Good command of English and computer literacy.