Investment Operations Specialist

Role Overview

We are seeking an experienced Operations Specialist to join our Shanghai team. The candidate will act as a critical link between investors, portfolio managers, and third-party service providers, spanning both client-facing fund operations and specialized China market access, account opening, and documentation workstreams.

Key Responsibilities

Client Services & Onboarding

• Investor Lifecycle: Manage the end-to-end onboarding process, including the collection and verification of KYC/AML documentation.
• Reporting: Coordinate the delivery of monthly/quarterly investor disclosures including NAV distribution, statements, tax reporting, and bespoke performance analytics.
• Query Management: Serve as the primary point of contact for clients regarding subscription/redemption cycles.

Fund Operations

• NAV Oversight: Perform shadow accounting and validate Net Asset Value (NAV) calculations provided by the Fund Administrator.
• Trade Lifecycle: Oversee trade capture, affirmations, and reconciliations across various asset classes (Equities, FI, Derivatives).
• Expenses & Accruals: Review fund expense payments and management/performance fee calculations.

QFII/RQFII & Onshore China Market Access Documentation

• Prepare, complete, and coordinate submission of QFII/RQFII registration documentation with custodians, PBOC, SAFE, and CSRC as required
• Complete and maintain standard account opening documentation for CIBM Direct and Bond Connect (including online portal submissions)
• Complete standard industry and counterparty-specific forms, including derivatives/futures market access documentation (e.g., CFFEX, SHFE)
• Liaise with global/local custodians, settlement agents, and brokers to complete Powers of Attorney (POAs), account mandates, and settlement instructions
• Arrange execution, wet-ink signature, certification, and notarization of documents with relevant Legal representatives/fund directors
• Support annual KYC refresh requirements
• Act as key liaison between Legal, Compliance, Trading, Fund Management, and external parties (custodians, brokers, regulators) on documentation matters
• Support due diligence and documentation for new fund launches involving China market exposure

Account Opening

• Coordinate trading agreements and undertaking letters between PB&T and execution brokers, including translation support
• Complete and validate 20–30 Chinese account opening forms per broker (including Program Trading Reports), liaising with Compliance, Sales, PM, and Legal
• Submit chopped documents, coordinate onsite stamping, and support system (Rosa) setup with the New Business team
• Open shareholder cards and establish custodian ↔ equity ↔ futures account connectivity
• Confirm cash transfer readiness once bank connectivity is live and secure final go-live sign-off across functions

Supportive File Development & Data Integration

• Develop and maintain operational files with brokers/custody teams (reconciliation, trade, repo, NAV, fee files), documenting setup logic per asset class
• Coordinate relevant internal teams for each file type and manage FTP setup (ports, passwords, upload locations, recipient whitelisting)

Proxy Voting & Official Statements

• Verify each broker's proxy voting capability, instruct brokers on voting, and build workflows with the Corporate Actions team
• Manage receipt of official equity and futures statements, including recipient whitelisting and chopped documentation for new recipients

Cash, Margin & Fee Monitoring

• Monitor margin levels and coordinate cross-border cash transfers with Equity Finance
• Handle cash management bookings, including reverse repo booking in Rosa
• Ensure exchange fee rate changes are correctly instructed and reflected in the system

Candidate Profile

Experience:

• 3+ years of operations experience within asset management, hedge fund, or prime brokerage, with direct exposure to onshore China market access (QFII/RQFII, CIBM, Bond Connect)
• Familiarity with China regulatory bodies (PBOC, SAFE, CSRC) and exchange documentation (CFFEX, SHFE)
• Experience with broker/custodian account opening and onboarding processes

Skills:

• Strong understanding of China market documentation requirements (chopping, notarization, POAs)
• Excellent stakeholder management skills across Legal, Compliance, Trading, and Fund Management
• Detail-oriented with strong process/documentation management capability
• Mandarin and English fluency (spoken and written) required, given translation and liaison duties
• Familiarity with reconciliation, trade, repo, NAV, and fee file structures is advantageous
• Experience with FTP setup/administration a plus

Attributes:

• Highly organized, able to manage multiple concurrent workflows
• Strong communicator, comfortable coordinating across internal and external parties (custodians, brokers, regulators)
• Proactive problem-solver with a control-focused mindset