Job Description

COMPANY DESCRIPTION:

Krane Funds Advisors, LLC (“KFA”) was founded in 2013 with a mission to provide investors with strategies to capture China’s importance as an essential element of a well-designed investment portfolio. As of Dec 2022, the firm manages approximately $10B 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 

As 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 KraneShares, it’s about what you do and how well you do it, regardless of your title or background.  

THE ROLE:

The candidate will report to the Chief Compliance Officer (CCO). The role is designed to assist in all matters related to compliance with both US and non-US regulations, Krane’s Registered Investment Advisory and Wealth Management business. Candidate will help administer and enhance our compliance program, including compliance with code of ethics, regulatory filings and forensic testing. The candidate should have practical judgment and ability to properly identify and escalate regulatory and compliance issues.

WHAT YOU WILL DO

• Track and review marketing materials for compliance with the Advisers Act and UCITS requirements (includes fund factsheets, pitchbooks, press releases, KIIDS, PRIIPS, etc.) 
• Code of Ethics compliance, including ongoing monitoring and approval of political contributions, social media accounts, outside business activities, personal trading (and reconciling data across two systems for Registered Reps)
• Review AML/KYC requests from brokers
• Assist with oversight of Registered Representatives, including U4 reviews, state rosters, review and reporting of gifts/entertainment 
• Ongoing oversight of service providers, including sub-advisers, fund administrator, distributor and custodian
• Manage and update compliance calendar and risk assessment matrix to reflect regulatory and internal requirements
• Contribute to the design and monitoring of compliance forensic testing program 
• Assist with incoming DDQs as well as checklists for Trust CCO and Management Company

SUCCESS IN THIS ROLE: requires an ability to prioritize well in fast paced business environment, have excellent written and oral communication and organizational skills and pay meticulous attention to detail. 

WHO YOU ARE:

• Undergraduate degree required
• 3-5 years of experience with Investment Company Act, Investment Advisers Act, SEC, UCITS and/or FINRA Regulations 
• Knowledgeable with systems used to monitor Code of Ethics compliance and/or investment guideline compliance (STAR Compliance a plus)

WHAT YOU’LL GET:

• CAREER OPPORTUNITY: Career paths aren’t 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 the integral principles in developing talent acquisition, guiding how we build our teams, developing leaders and creating a company that is the right fit for every employee.

DISCLAIMER:

Krane Funds Advisors LLC and its affiliates provide equal employment opportunity to all qualified employees and applicants for employment without regard to age, color, ethnicity, family or marital status, gender, gender identity or expression, language, national origin, physical and mental ability, political affiliation, race, religion, sexual orientation, socio-economic status and veteran status. 

EMPLOYMENT TYPE

Full-time