Operations & Compliance Manager (Asset Management)

About us

Guotai Junan International is a diversified financial services company whose core business activities include brokerage, wealth management and investment management. The company has been building up its presence in Singapore to complement its existing businesses in Greater China and serve a wider range of customers, and offer new business and financial products to meet evolving investors’ needs in the Greater China and Southeast Asia region.

We are looking for a seasoned, enterprising and motivated Operations and Compliance Manager to join our Singapore Asset Management business and carry out and manage a variety of operations, compliance and reporting activities. The role reports to the CEO of Singapore Asset Management and offers an opportunity to be involved in and contribute across different areas of our asset management business.

Role and Responsibilities

• Carry out and manage operations, compliance and risk reporting activities in a player/ coach role and drive team productivity
• 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
• Ensure fund and business compliance with legal and regulatory requirements and guidelines of relevant jurisdictions (eg. Singapore, Cayman, Hong Kong)
• Complete and submit licensing and regulatory filings and other submissions and act as a key contact for regulators
• Liaise with Group Compliance teams on relevant legislation, and develop and implement internal controls and policies
• Assist in updating compliance manuals, policies and procedures as and when required
• 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 and compliance experience at licensed fund management companies
• Understanding of fund accounting and familiar with structure, operations and reporting for Singapore VCC and Cayman funds
• Familiar with full trade lifecycle of 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 multi-task and work and under pressure 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, positive attitude and able to manage multiple stakeholders including clients, service providers, regulators, auditors and senior management
• Open to new ideas and keen in gaining knowledge in unfamiliar areas
• Proficient with Microsoft Excel, Word and Powerpoint
• 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

We offer an attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present and expected salaries, as well as date of availability, by clicking "Apply".

(Data collected will be kept strictly confidential and used for recruitment purpose only.)

About us

Guotai Junan International is a diversified financial services company whose core business activities include brokerage, wealth management and investment management. The company has been building up its presence in Singapore to complement its existing businesses in Greater China and serve a wider range of customers, and offer new business and financial products to meet evolving investors’ needs in the Greater China and Southeast Asia region.

We are looking for a seasoned, enterprising and motivated Operations and Compliance Manager to join our Singapore Asset Management business and carry out and manage a variety of operations, compliance and reporting activities. The role reports to the CEO of Singapore Asset Management and offers an opportunity to be involved in and contribute across different areas of our asset management business.

Role and Responsibilities

• Carry out and manage operations, compliance and risk reporting activities in a player/ coach role and drive team productivity
• 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
• Ensure fund and business compliance with legal and regulatory requirements and guidelines of relevant jurisdictions (eg. Singapore, Cayman, Hong Kong)
• Complete and submit licensing and regulatory filings and other submissions and act as a key contact for regulators
• Liaise with Group Compliance teams on relevant legislation, and develop and implement internal controls and policies
• Assist in updating compliance manuals, policies and procedures as and when required
• 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 and compliance experience at licensed fund management companies
• Understanding of fund accounting and familiar with structure, operations and reporting for Singapore VCC and Cayman funds
• Familiar with full trade lifecycle of 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 multi-task and work and under pressure 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, positive attitude and able to manage multiple stakeholders including clients, service providers, regulators, auditors and senior management
• Open to new ideas and keen in gaining knowledge in unfamiliar areas
• Proficient with Microsoft Excel, Word and Powerpoint
• 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

We offer an attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present and expected salaries, as well as date of availability, by clicking "Apply".

(Data collected will be kept strictly confidential and used for recruitment purpose only.)