Director of Compliance and Operations Director of Compliance and Operations …

Stonehorn Global Partners Limited
à Hong Kong
CDI, Plein-temps
Dernière candidature, 02 déc. 20
Salary negotiable
Stonehorn Global Partners Limited
à Hong Kong
CDI, Plein-temps
Dernière candidature, 02 déc. 20
Salary negotiable
Director of Compliance and Operations

Stonehorn Global Partners (a Type-9 licensed asset manager based in Hong Kong) is seeking a Director of Compliance/Operations to join as a key member of executive management team responsible for maintaining and driving operational excellence within our company.  As a vital position in the company, the successful candidate will report to and work closely with the CEO to strife for best practice in operational procedures and identify sound processes to manage risk and compliance.  The candidate must also be a skilled communicator, effective leader and driven business person who can manage non-investment issues and spur company growth.

The successful candidate will provide leadership and strategic vision to the organization.  He/she will bring operational, managerial and administrative procedures, legal, reporting structures and operation controls to the company.  This is a crucial leadership role that will drive results, spur growth and increase the overall efficiency of the corporation.




1. Management Duties

  • Provide management to staff and leadership to the organization that aligns with the company’s business plan and overall strategic vision
  • Assist the CEO in strategic development, setting challenging and realistic goals for growth, performance, and profitability
  • Oversee daily operations of the company and the work of executives
  • Supervise HR, accounting, and IT functions as well as risk monitoring for launched fund


2. Compliance/Regulatory

  • Build, maintain and help monitor compliance with all financial policies and procedures of the firm
  • Develop policies and procedures consistent with regulatory requirements and industry practices
  • Manage regulatory relationships and comply with the reporting requirements of Ireland and Hong Kong securities regulators
  • Keep abreast of regulatory changes/updates from all relevant regulatory bodies
  • Ensure that the operating procedures comply with regulatory and company policies and requirements
  • Manage the risk control aspect of the investment process including risk analysis and implementation of risk measures


3. Legal/Finance

  • Assist the CEO in all business aspects of running the company, particularly corporate planning, legal, as well as finance management
  • Review agreements and legal documents of the fund
  • Review financial statements prepared by the auditor

4. Internal and External Communication

  • Assist the CEO in all Board related items; sit in all board meetings, lead the discussion on operational matters.
  • Be responsible for overall quality of board meeting material including action items and board minutes.
  • Provide accurate and timely reports such as reports to investors, attribution reports to fund managers, and board meeting material to fund directors.


5. Fund operations tasks

  • Proactively review and streamline the operational workflow
  • Oversee investment operations activities such as trade booking, clearing, and settlement and ensure that daily NAV is calculated correctly.
  • Work with service providers such as legal advisors, administrator, custodians, and auditor
  • Assist in designing and implementing internal operational procedures and controls
  • Work closely with senior management team to create, implement, and roll out plans for operational processes, internal infrastructures, reporting systems and company policies all designed to foster growth, profitably and efficiencies within the company. 



  • Bachelor’s degree required
  • 10+ years of fund operations experience in financial firms required
  • Experience in fund legal/compliance is preferred
  • Experience with UCITS funds a plus
  • Strong quantitative and communication skills
  • Excellent written and spoken English
  • Team player – able to be resourceful and work with small but growing team

We offer an attractive remunerative package and good career prospects to the right candidate. For interested parties, please submit a cover letter and resume with expected salary and availability by clicking “Apply”.

All information will be treated in strict confidence and only used for employment-related purposes.

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