Compliance Associate

Website Krane Funds Advisors LLC


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 2020, the firm manages approximately $6.5B 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 KraneShares
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.
Job Title: Compliance Associate
Reports to: Chief Compliance Officer (CCO)

About the Role:
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
Assist with preparation and ensuring the timely and accurate filing of various regulatory filings (e.g. 13F, 13H, Form ADV, N-PORT, Annual NFA reporting, etc.)
Track and review marketing materials for compliance with the Advisers Act (includes fund factsheets, pitchbooks, press releases, etc.) and UCITS requirements and assisting with DDQs
Assist with mock and actual regulatory examinations/audits
Perform 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 investor qualification and AML/KYC verifications for new investors
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
Code and monitor investment guidelines in BBG AIM for compliance with fund policies and restrictions
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
1-3 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 Bloomberg AIM is a plus (or other pre/post trade compliance system)
Experience with 40 Act subadvisor oversight responsibilities and reporting 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.

To Apply:
E-mail resume and cover letter to Jennifer Tarleton, Head of Human Resources at

Note: No recruiters or agencies

KFA and its affiliates provide equal employment opportunity to all qualified employees and applicants for employment without 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 KFA’s commitment to the principles of fair employment and the elimination of all discriminatory practices.

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