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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.

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

Job level Senior
Work exp Minimum 10 Years
Education Bachelor Degree
Location Hong Kong
Employment type Full Time
Industry Financial Services
Job function Banking / Finance > Fund Management
Banking / Finance > Investment & Securities
Banking / Finance > Legal / Compliance
Published On 10/11/2016

Duties:

  • 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

Qualifications:

  • 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.

We offer attractive remuneration package to the right candidate. Interested parties please send your application in email to recruitment2016cv@gmail.com with the following requirements:

1) Subject of your email should be in the format of “2016DCO_Applicant’s Name”

2) Attachments in the email should include your

a) Cover Letter

b) Resumes with full particulars, current and expected remuneration (the file should be named “2016DCO_lastname_firstname_CV”)