Stephanie Peng

Head of Operations and Compliance, Shanghai Office at Canyon Partners, LLC
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Contact Information
us****@****om
(386) 825-5501
Location
Pudong, Shanghai, China, CN
Languages
  • English Full professional proficiency
  • Chinese (Simplified) Native or bilingual proficiency
  • Cantonese Full professional proficiency

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Bio

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Credentials

  • Fund Management Practitioner
    Asset Management Association of China (AMAC)
    Dec, 2012
    - Nov, 2024

Experience

    • United States
    • Financial Services
    • 100 - 200 Employee
    • Head of Operations and Compliance, Shanghai Office
      • Mar 2020 - Present

    • United States
    • Financial Services
    • 1 - 100 Employee
    • Principal, Operations/Legal, Drobny (Shanghai) Investment Management Company
      • Sep 2018 - Feb 2020

      ▪ Work closely with the management to map out China strategy and China related products, leading China office;▪ Provide legal and compliance advice on onshore business, working closely with ex-ternal lawyers and consultants;▪ Design the offshore fund structure with onshore underlying assets;▪ Conduct the operational due diligence on the seed managers and advise them on launching the business in Hong Kong and Mainland China;▪ Updates on the laws and regulations in Hong Kong and Mainland China market;▪ Explore and maintain the relationship with investors/regulators/service providers.

    • Singapore
    • Financial Services
    • 1 - 100 Employee
    • Senior Manager, APS China Asset Management Pte Ltd
      • Jan 2014 - Sep 2018

      ▪ Take lead in APS China strategy, especially WFOE-PFM license application, and work closely with head office and external consultants on all aspects of WFOE-PFM business;▪ Work closely with the brokers, trusts, and banks on PFM products; ▪ Develop and manage the relationship with government officials, banks, brokers and wealth management companies; ▪ Work closely with marketing, client service and compliance team of head office for QFII & RQFII business; ▪ Take lead in APS Annual Client Event, responsible for field trip, company visits and resource integration; ▪ Provide legal and compliance advice, working closely with external lawyers and consultants; ▪ Develop and manage the relationship with service providers including 3rd party consultants, event planners, headhunters, etc.; ▪ Oversee the non-investment business of APS China.

    • Staff Officer, APS China Research Pte Ltd
      • May 2012 - Dec 2013

      ▪ Take lead in QFII/RQFII license application, working closely with head office, custodian banks and brokers on the application and operation;▪ Work closely with the investment team on special projects and special investment reports; ▪ Conduct researches on public companies and draft the reports thereof; ▪ Assist the Co-CIO in various marketing and investment meetings.

    • Executive Assistant to the Founder
      • Oct 2011 - Mar 2012

      ▪ Assist the founder to set up Shanghai Office;▪ Conduct researches on M&A and block trade deals. ▪ Assist the founder to set up Shanghai Office;▪ Conduct researches on M&A and block trade deals.

    • China
    • Law Practice
    • 1 - 100 Employee
    • Legal Assistant
      • Apr 2007 - Oct 2011

      ▪ Responsible for the due diligence in M&A and compliance projects;▪ Conduct legal research and analysis;▪ Draft and review legal reports;▪ Organize and coordinate internal training program. ▪ Responsible for the due diligence in M&A and compliance projects;▪ Conduct legal research and analysis;▪ Draft and review legal reports;▪ Organize and coordinate internal training program.

Education

  • The University of Hong Kong
    Master of Business Administration (MBA), Business Administration and Management, General
    2014 - 2016
  • Shanghai University
    Bachelor of Arts (B.A.), English Language and Literature; Law
    2003 - 2007

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