Operations and Compliance Officer - Hong Kong Island Hong Kong - 36791
Operations and Compliance Officer
, Hong Kong Island - Hong Kong
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Employer Will Recruit From:
WHY IS THIS A GREAT OPPORTUNITY?
A boutique Asset Management firm that offers professional investors bespoke solutions in private equity and public markets products.
Responsible for daily fund operations including confirmation, settlement, reconciliation, NAV, risk reporting, data analytics, fund accounting, corporate action, etc.
Work with external vendors and internal counterparts on portfolio valuation, P&L, cash and position reconciliations, etc.
Assist in new subscriptions and redemptions and perform KYC/ AML check on fund investors.
Selected compliance and IR related tasks, e.g. account opening, reporting, operational due diligence, subscription & redemption, policies & procedures preparation/update, and registration.
Produce adequate reporting materials to and regularly communicate with both internal and external stakeholders.
Oversee compliance function and act as a contact person to the SFC and external vendors (e.g. AML, KYC vendors, fund administrators, etc).
Conduct full review of current compliance policy, and come up with action plan to ensure full compliance with SFC standards.
Enforcement and monitoring the implementations of compliance policy across the firm.
Facilitate and coordinate with counterparts during new business line launches to ensure full compliance to SFC standards.
Other ad hoc duties as assigned.
At least 5 years of experience in setting up and launching hedge funds.
Sound knowledge in Asia and global fixed income products including but not limited to cash credit, CDS and rates.
Knowledge in structured credit, private debt, asset-backed debt and mortgages is a plus.
Hands-on solid long/short fixed income operations and accounting experience.
Experience in EAM/IAM business arrangements and the operations and reporting of these accounts. Having worked with various private bank partners is a plus.
Background in dealing with various professional services providers such as lawyers, auditors, tax accountants, prime brokers and fund admins. Prior relationship with these market participants is a plus.
Familiar with SFC regulatory requirements in compliance, especially those related to Type 9 license.
Hands-on experience in central compliance function, including handling SFC inspection and report submission, policies drafting and implementation.
Self-motivate, diligent, strive for excellence, able to multitask and work under pressure and independently.
Great team player with excellent communication and interpersonal skills.
Excellent command in English and Chinese. Good knowledge on office level IT applications.
University - Bachelor's Degree/3-4 Year Degree