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Manager, Fund Investment Monitoring – lead compliance, risk, and operations in Bangkok
Drive regulatory excellence and service delivery across Thailand’s fund operations.
Job Summary
- Review on Fund Prospectus and provide brief information to Fund Services Team.
- Set up compliance rule in CRIMS and perform external monitoring if the compliance rule could not be accommodated by the system.
- Monitoring all the compliance rules to be complied with SEC regulatory/Prospectus.
- Review new securities condition for invest in accordance with the Fund Prospectus and update into CRIMS.
- Update necessary data in Multifonds used for compliance rule monitoring.
- Ensure the compliance of clients with the Fund Prospectus and the SEC’s regulations.
- Liaise with the client for the violations issues and closely follow up response from clients before issuing a formal letter to SEC.
- Adhere to the deadline to be reported to SEC per SEC’s regulations.
- Ensure that all necessary fund documents are kept in vault and document files.
- Ensure that operations are efficiently managed in strict compliance with local laws and regulations and in line with Group Operation Risk Policy
Key Responsibilities
Strategy
- Contributes to the definition of best-practice global operating standards and operating environment within the Target Operating Model (TOM).
- Implements TOM and oversees its ongoing development in the country/market in addition to local market standards and approved client needs.
- Ensures compliance with all Group and Country policies, Code of Conduct, statutory regulations, and laws.
- Strong advocate of service consistency within and across regions. Actively takes steps to eliminate / minimise use of non-standard solutions.
- Identifies strategic service delivery issues relating to technology, process, human resource, and service quality and implements appropriate solutions.
- Ensures the operations teams are optimised and that resources are effectively managed to rapidly fill any service gaps identified.
- Participate in developing the strategic operations direction and roadmap for FSS, align with Business Strategy and investment appetite.
- Support Architecture changes in formulation of Best Practice and apply agreed methodologies in FSS and CIB.
- Deliver a robust control environment which mitigates the risk of loss and safeguards the Banks assets.
- Ensure the client experience is seamless based on efficient processing, timely resolution of client exceptions and is perceived as an enabler by the business to generate and retain client flows.
- Alignment of activities to support the wider FSS Operations utilities model for greater standardisation, process efficiency and cost reduction.
Business
- Oversees effective management of country budgets.
- Deliver Business Efficiency targets.
- Monitors client service standards to ensure high-quality operational and client support services are provided.
- Acts as escalation point for country level operational issues – identifies remedial solutions and oversees timely, efficient implementation when required.
- Works closely with all members of the end-to-end journeys to ensure operational platforms support client service level agreements and internal benchmarks as well as identifying opportunities for automation.
- Proactively works with their country teams and regional peers to ensure development of pool of knowledgeable, mobile operations staff.
- Champions the identification and implementation of operational best practice across markets within region and with other regions.
- Ensures compliance with all relevant local and global regulatory requirements and industry best practice.
- Drives continuous improvement culture to maximise cost and processing efficiency.
- Represents the Fiduciary and Fund Services operations function at operational forums, groups and conferences where needed.
Processes
- Accountable for managing critical operational processes, controls and delivering a high-quality service to a diverse range of highly demanding clients.
- Accountable for end-to-end delivery of Fiduciary and Fund services operations for Thailand ensuring that we mitigate any operational, regulatory or client risks and enable the FSS businesses.
- Ensures an efficient and effective end to end product journey for local and international clients across both the onshore and central teams.
- Ensures Change Management processes are adhered to in country operations.
- Ensures that key business practices and service delivery processes are conducted in compliance with Group and country regulatory guidelines.
Identifies operational risks and enhances control mechanisms, both for in-country processes and services hubbed offshore.
Update regional management in a timely manner on notable operational developments and issues and drives the resolution of thematic client issues and process issues.
Role models a strong, collaborative business relationship between the onshore and the hubbed centres that make up the end-to-end journey.
Supports “One Bank” through strong connectivity with support and sales functions and related businesses such as Cash and Transaction Banking.
People & Talent
- Develops and embeds a high-performance culture; develops talent to ensure a high-quality succession pipeline; drives improvement in people engagement; and ensures the team is resourced and trained sufficiently.
- Leads through example and builds the appropriate culture and values. Sets appropriate tone and expectations from the Operations team and works in collaboration with risk and control partners.
- Ensures that holders of all critical functions in the journey are suitably skilled and qualified for their roles, with effective supervision in place to mitigate any risks.
- Periodically reviews team structure and supports opportunities staff development both within the country and into other markets where opportunities exist.
- Sets and monitors job descriptions and objectives for direct reports and provides objective feedback and rewards in line with their performance.
Risk Management
- Understands the main risks facing the Group and identifies, assesses, monitors, controls and mitigates accordingly.
- Manages Operations Risk effectively, including identification, communication, and remediation of risks to the relevant forums.
- Accountability – no audit fails; full remediation/root cause analysis and execution for ops losses.
Governance
- Embed the Group’s values and code of conduct in countries and hubs to ensure that adherence with the highest standards of ethics, and compliance with relevant policies, processes, and regulations.
- Aligns the Operations agenda to global and regional business strategies, to global standards and the technology roadmap.
- Actively participates as required in Regional and / or Group committee or working group meetings.
- Works with regulators in an open and co-operative manner.
Regulatory & Business Conduct
- Display exemplary conduct and live by the Group’s Values and Code of Conduct.
- Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
- Lead the Thailand Fiduciary and Fund services operations teams to achieve the outcomes set out in the Bank’s Conduct Principles: Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.
- Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Key stakeholders
- FSS country management
- FI RM and Credit
- Sales
- Product
- Country COO
- Operational Risk
- Compliance
- Risk
- Finance
Skills and Experience
Investment Compliance Monitoring
About Standard Chartered
We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us.
Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion.
Together we:
- Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
- Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
- Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term
What we offer
- In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.
- Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.
- Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.
- Flexible working options based around home and office locations, with flexible working patterns.
- Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
- A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.
- Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.