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Compliance Associate

Company: Kraneshares
Location: New York
Posted on: January 16, 2022

Job Description:

Company Description:Krane Funds Advisors, LLC (KFA) was founded in 2013 with a mission to provide investors with strategies to capture Chinas importance as an essential element of a well-designed investment portfolio. As of January 2022, the firm manages approximately $14B in assets and seeks to provide innovative, first to market strategies that have been developed based on the firm and its partners deep knowledge of investing.
Working at KFAAs a member of our collaborative team, you will work alongside passionate people who insist on doing their best work to get the best results. At KFA, its about what you do and how well you do it, regardless of your title or background.
Job Title:Compliance Associate
Salary:TBD
The Role:The candidate will report directly to the Chief Compliance Officer (CCO) and will be the 4thperson to join the compliance team. The role is designed to assist in all matters related to compliance with both US and non-US regulations, KFAs Registered Investment Advisory (registered investment companies, UCITS, model portfolios) and Wealth Management business. Candidate will help administer and enhance our compliance program, including compliance with code of ethics, policy implementation, regulatory filings and testing. The candidate should have practical judgment and be able to confidently identify and escalate regulatory and compliance issues.
Responsibilities:

  • Assist with drafting and implementation of policies and procedures (e.g. Marketing Policy, Trade Allocation, Communication, Social Media, GIPS Compliance, Valuation, Liquidity, Risk Management Policy) and internal memos to file
  • Assist with new product launches including participation on weekly calls with service providers (fund administrator, custodian, sub-adviser, etc.), reviewing prospectus and fund documentation and working within Bloomberg AIM to code and monitor compliance with investment guidelines
  • Contribute to the testing of controls, including ongoing monitoring of political contributions, social media accounts, outside business activities, personal trading
  • Implement updates related to new/changing compliance rules and regulations (e.g., US: Fund of Funds 12d1-4, Use of Derivatives 18f-4, Fair Value Rule 2a-5, IA Advertising Rule, Non-US: SFDR Level II, Cross Border Distribution Framework)
  • Manage and update compliance manual, compliance calendar and risk matrix to reflect regulatory and internal requirements
  • Service provider oversight
  • Assist with mock and actual regulatory examinations/audits
    Success in this role: requires a good dose of compliance curiosity, the ability to prioritize well in fast paced business environment and meticulous attention to detail. Must have excellent written and oral communication skills.
    Who you are:
    • Undergraduate degree required
    • 3-5 years of experience with Investment Company Act, Investment Advisers Act, Wealth Management, SEC and FINRA Regulations
    • Knowledgeable with systems used to monitor Code of Ethics compliance and/or investment guideline compliance
    • Experience with STAR Compliance and/or Bloomberg AIM is a plus (or other pre/post trade compliance system)
    • Experience with UCITS regulations is a plus
      What Youll Get:Career Opportunity:Career paths arent linear here. Being part of our growing global company gives you the chance to develop a broad skillset.Learning & Development: We take a strong interest in the growth and development of our employees.We are here to help mentor you and provide you with the tools to succeed and grow as a professional.Diversity, Equity and Inclusion: Diversity, equity and inclusion are more than just words for us. They are theintegral principles in developing talent acquisition, guiding how we build ourteams, developing leaders and creating a company that is the right fit for everyemployee.
      To Apply:Email resume and cover letter to Jennifer Tarleton, Head of Human Resources atjobs@kraneshares.com
      Note: No recruiters or agencies
      Disclaimer:KFA and its affiliates provide equal employment opportunity to all qualified employees and applicants for employmentwithout regard to age, religion, race, creed, color, national origin, military status, sex (including pregnancy, sexual orientation and gender identity), disability, predisposing genetic characteristics, familial status, marital status, domestic violence victim status or any other status protected under applicable federal, state, or local laws. These policies reflect KFAs commitment to the principles of fair employment and the elimination of all discriminatory practices.by Jobble

Keywords: Kraneshares, New York , Compliance Associate, Other , New York, New York

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