We are a Hong Kong based investment management firm managing hedge funds and private equity funds with about US$1 billion AUM invested by US/European/Asia institutions primarily investing in Southeast Asia and Greater China.
Director of Compliance & Operations
|Work exp||Minimum 10 Years|
|Employment type||Full Time|
Banking / Finance > Fund Management / Hedge Fund
Banking / Finance > Investment & Securities
Banking / Finance > Legal / Compliance
- Oversee regulatory compliance matters of a boutique fund management company with sum of ~US$800M specializing in private debt/equity investment, work independently in areas including but not limited to
- Matters arising from Type 4, 9 regulated activities with HK SFC, licenses of the company and funds for Investment Adviser with SEC in US, FSC of BVI and Cayman Islands
- Compliance with rules in countries we may market to
- Regulatory filings including disclosure of interests for funds and directors
- Liaise with service providers of funds and the company (brokers, prime brokers, lawyers, etc)
- Handle setup and maintenance of funds, discretionary accounts and related matters
- Communicate /negotiate with investors on terms of investments and related matters
- Facilitate investors in understanding the firm and its products
- Work experience covering significant job duties above
- Strong understanding in fund terms and latest practices of private debt/equity funds (fees structures/restrictions, allocation across funds, etc). Knowledgeable in private equity and debt investments.
- Excellent verbal and written communication skills in English
- Fast learner with high energy level, highly effective, disciplined and strong commitment to career
- University degree holder with over 10yrs of working experience
- Professional qualifications in accounting/ law, experience in corporate finance/ restructuring are strongly preferred. CFA, qualifications in securities regulations, strong knowledge in excel/database are pluses.
Candidates with better experience/qualifications may be considered for the post of COO.