Operations & Compliance Manager

Role and Responsibilities

• Manage and lead operations, compliance and risk reporting activities in a player/ coach role and drive team productivity
• Operations

1. Ensure timely and accurate trade capture, uploads, confirmations and settlements
2. Perform daily cash and position reconciliation and resolve discrepancies
3. Monitor fund expenses and accruals and perform regular fund NAV reconciliation and validation
4. Ensure timely collection of funds’ management and performance fees
5. Support portfolio managers in cash monitoring and operations
6. Onboard service providers such as brokers, custodians and fund administrators, including KYC, AML and due diligence process
7. Support new fund launches and changes to existing funds
8. Support periodic broker review assessments
9. Support in monitoring and mitigating operational risk. Prepare reports on operational risk and assist in resolving issues.

• Compliance

1. Ensure fund and business compliance with legal and regulatory requirements and guidelines of relevant jurisdictions (eg. Singapore, Cayman, Hong Kong)
2. Complete and submit licensing and regulatory filings and other submissions and act as a key contact for regulators
3. Liaise with Group Compliance teams on relevant legislation, and develop and implement internal controls and policies
4. Assist in updating compliance manuals, policies and procedures as and when required
5. Create and update pre-trade and post-trade compliance rules in trade order management system
6. Administer staff personal dealing procedures and maintain records
7. Coordinate and assist in the audits of the funds and the business and act as a key contact point for auditors
8. Keep organised records to ensure compliance and achieve good audit results; address audit findings promptly

• Risk and Reporting

1. Prepare reports on fund positions, fund valuation and portfolio performance and risk on a regular basis
2. Conduct stress testing and stop-loss monitoring and report threshold breaches to internal and external stakeholders
3. Monitor & manage fund data on Bloomberg and other platforms or websites
4. Update monthly fund factsheets and other investment materials

• Client Onboarding

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

• Manage and participate in adhoc projects as required