Investment Operations Lead

Posted 07 September 2023
LocationHong Kong
Job type Permanent
DisciplineChief Operating Officer & Governance
EA License No.15S7496

Job Description

Key Responsibilities:
As part of the Investment Team, the Investment Operations Lead will be in charge of managing the full cycle of investment operations in relation to public and private investments. The incumbent will be leading a number of initiatives on processes improvement to drive efficiency of investment operations.
Details of responsibilities include but not limited to the following:
  • Manage operational processes for full investment life cycle for public and private investments from onboarding, account opening, due diligence checks, Know Your Client (KYC) documentation, conducting risk and suitability assessment to capital call, trade execution, settlement and record keeping;
  • Liaise with internal and external parties on deal documentation and execution processes;
  • Conduct periodic account reviews and liaise with financial counterparties on KYC, AML and any other regulatory requirements;
  • Handle and maintain documentations related to public and private investments;
  • Work closely with the Finance/Accounting Team to provide sufficient information for the book-keeping and preparation of accounts of the investment companies;
  • Handle all administrative tasks related to investment portfolio;
  • Assist in preparation of internal memos, presentation decks and periodic financial reporting in a timely manner;
  • Review existing investment operational processes and procedures to identify ways to streamline and improve operating models;
  • Drive project and initiatives on process improvement; and
  • Conduct any ad-hoc duties as assigned.
Key Requirements:
  • University graduate or equivalent professional qualifications (such as CFA, CPF, or CPWP);
  • At least 8 years of relevant experience in investment operations for private and public investment. Holistic understanding of the nature of public and private market investments, including an appreciation of how underlying investments are structured (e.g. understand how a fund investment works, and how the GP/LP relationship is governed);
  • Good understanding of SFC Type 1.4 & 9 regulated activities is essential;
  • Familiar with AML / KYC and industry guidelines (HKMA and SFC) with relevant work experience on AML / KYC within corporate financial services industries is essential. Deep understanding of end-to-end KYC and client on-boarding processes;
  • Solid understanding of fund accounting concepts;
  • Proven experience in sourcing information from various data sources such as Bloomberg and utilizing that for financial reports. High level of proficiency with MS Office applications;
  • Strong analytical mind, numerical, critical reasoning, problem-solving and comprehension skills with great attention to details;
  • A proactive, independent achiever who is willing to learn and able to suggest and implement continuous improvement to processes for better organizational efficiency;
  • A good team player who works well in team and with internal stakeholders;
  • A systems-thinker - proven ability to design and implement (and automate where applicable) back office processes and databases from scratch, for optimal risk monitoring and good governance.
  • Strong grasp of considerations in selecting back office software to streamline operations, including the considerations of the wider organization;
  • Ability to multi-task and work effectively under high pressure;
  • High standard of integrity;
  • Effective communication and interpersonal skills; and
  • Excellent command of spoken and written English and Chinese