Role and Responsibilities

• Carry out and manage operations, compliance and risk reporting activities in a hands-on player/ coach role and drive productivity of the Operations function

Operations

• Ensure timely and accurate trade capture, uploads, confirmations and settlements
• Perform daily cash and position reconciliation and resolve discrepancies
• Monitor fund expenses and accruals and perform regular fund NAV reconciliation and validation
• Ensure timely collection of funds' management and performance fees
• Support portfolio managers in cash monitoring and operations
• Onboard service providers such as brokers, custodians and fund administrators, including KYC, AML and due diligence process
• Support new fund launches and changes to existing funds
• Support periodic broker review assessments
• Support in monitoring and mitigating operational risk. Prepare reports on operational risk and assist in resolving issues.
• Monitor & manage fund data on Bloomberg and other platforms or websites
• Update monthly fund factsheets and other investment materials

Compliance

• Work closely with Group Compliance and Legal to ensure fund and business compliance with legal and regulatory requirements and guidelines of relevant jurisdictions (eg. Singapore, Cayman, Hong Kong)
• Liaise with Group Compliance and Legal teams on relevant legislation, and develop and implement internal controls and policies
• Complete and submit licensing and regulatory filings and other submissions and act as a key contact for regulators
• Keep compliance manuals, policies and procedures updated and appropriate for the scale and nature of the business
• Create and update pre-trade and post-trade compliance rules in trade order management system
• Administer staff personal dealing procedures and maintain records
• Coordinate and assist in the audits of the funds and the business and act as a key contact point for auditors
• Keep organised records to ensure compliance and achieve good audit results; address audit findings promptly

Client Onboarding

• Collaborate with other teams to review potential business or clients
• Assist in completing investors' due diligence questionnaires
• Assist in investor subscription and redemption procedures
• Maintain logs/ records relating to specified scenarios such as subscription rejections; investor account freezes; and high-risk investors
• Perform KYC due diligence of clients
• Provide AML/ CFT compliance oversight of the fund's activities (including the fund's investment activity as well as investor-related AML issues)
• Advise senior management and funds' board members of pertinent AML/ CFT compliance issues
• Manage and participate in adhoc projects as required

Requirements

• Degree in accounting, business, finance, law or other relevant disciplines
• Minimum of 6 years of relevant operations experience at licensed fund management companies
• Experience working in both large and small asset management firms preferred
• Understanding of fund accounting and familiar with structure, operations and reporting for Singapore VCC and Cayman funds
• Familiar with full trade lifecycle of listed equities, swaps and futures
• Meticulous and highly numerate
• Good analytical and problem-solving abilities
• Responsible and able to work independently and also as part of a team
• Organized and able to drive multiple tasks and projects within tight deadlines
• Ethical and professional, with high degree of integrity
• Excellent interpersonal and verbal and written communication skills
• Flexible and adaptable as the role frequently requires working on ad-hoc queries from different stakeholders
• Resourceful, and experience engaging with multiple stakeholders including clients, service providers, regulators, auditors and senior management
• Positive attitude, open to new ideas and keen in gaining knowledge in unfamiliar areas
• Proficient with Microsoft Excel, Word and Powerpoint
• Additional experience in a compliance function a plus
• Experience liquidating and closing Cayman fund structures a plus
• Experience with Bloomberg AIM, CMGR and trade feeds a plus
• Fluent in spoken and written English and Chinese, due to the need to communicate with counterparts and stakeholders in Hong Kong and prepare reports in Chinese language