Fund Compliance and Operation Manager

Key Responsibilities:

• Compliance Oversight: Ensure the firm’s compliance framework for fund operations adheres to all applicable regulations, including SEC and FINRA, as well as internal fund guidelines. Continuously monitor changes in regulations and make necessary adjustments to maintain compliance.
• Transaction Monitoring: Oversee daily fund transactions and trading activities, ensuring compliance with fund guidelines, company policies, and relevant regulations. Identify and resolve any compliance issues in a timely manner.
• Fund Operations Management: Manage the daily operations of funds, including oversight of transactions, calculation of Net Asset Value (NAV), and fulfillment of all reporting requirements. Collaborate with internal teams to ensure efficient and accurate operational processes.
• Regulatory Compliance: Ensure compliance with all applicable regulatory authorities, such as the SEC, FINRA, and other governing bodies. Provide regular updates on regulatory developments and their impact on fund operations.
• Audit Collaboration: Work closely with internal teams and external auditors to ensure effective compliance practices are in place and functioning properly.
• Process Improvement: Develop and implement operational processes to improve efficiency and accuracy in fund management, with a focus on minimizing risk and ensuring best practices are followed.
• Strategic Input: Provide strategic guidance to senior management on compliance and operational matters, identifying areas for improvement and offering solutions to ensure smooth fund operations.

Qualifications:

• A minimum of 3 years of experience in fund compliance and operations, with a strong understanding of the relevant regulatory landscape.
• Language Proficiency: Proficiency in Korean (both written and verbal) is required to communicate with Korean-speaking clients and stakeholders.
• Thorough knowledge of SEC and FINRA regulations and their impact on fund operations.
• Demonstrated experience in managing fund operations, including compliance monitoring, reporting, and oversight.
• Strong organizational and analytical skills, with a keen attention to detail.
• Ability to work effectively within cross-functional teams and independently.
• Must be legally authorized to work in the United States.

If you meet these qualifications and are eager to contribute to a dynamic and growing team, we encourage you to apply.