Operations & Compliance Manager - Toa Payoh
GUOTAI JUNAN INTERNATIONAL ASSET MANAGEMENT (SINGAPORE) PTE. LIMITED Toa Payoh Permanent
Role and Responsibilities
- Carry out and manage operations, compliance and risk reporting activities in a player/ coach role and drive team productivity
- 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
- 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
- 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
- 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
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