Job Description

Main Job Purpose

To provide or assist in the provision of Company Secretarial Services to a selection of fund entities, which include regulated, listed and private equity clients, with the view to taking the lead responsibility once appropriate experience / expertise level obtained.


(Full training will be provided as required)

OVERVIEW

------------


Act as Company Secretary to a portfolio of Listed fund entities.
Keep abreast of changes in legislation and corporate governance.
Assist with team projects / initiatives as required.

MEETINGS

------------


Liaison with Client/Directors to arrange and facilitate Board meetings (availability, rooms, IT etc.).
Preparation and circulation of material for Board Meetings.
Attendance at Board meetings with facilitation and minutes being taken.
Complete written minutes of each meeting on a timely basis and in a prescribed form and circulate as appropriate for approval / amendment.

STATUTORY RECORDS

---------------------


Set up and maintain hard copy statutory record files in accordance with regulatory requirements for all new Companies and ensure timely filing of documents.
Log agreements on master agreements log per client.
Arrange notarisation as required.
Arrange banking and facilities when required.
Complete and update Signatory mandates.
Co-ordinate the completion of documents required with respect to the listing of a new fund, new class of an existing fund.

FILINGS

-----------


Completion and submission of annual return forms for all companies administered.
Completion of Company tax application on incorporation.
Ensure statutory fees are paid including the following:
Annual returns
Regulatory fees
Stock Exchange filing fees.


Ensure distribution of accounts is correctly completed - (Regulator, Custodian).
Ensure accounts are filed with statutory bodies - (Registrar, Exchange and any other Regulatory body as necessary).

NOTIFICATIONS

-----------------


Liaise with the London Stock Exchanges and ensure that all statutory returns and announcements are made on a timely and accurate basis in accordance with the rules and regulations pertaining to a listed company.
Notify Regulator of changes to officers, signatories, directors, auditors, manager, proposed alteration to fund documentation e.g. prospectus, agreements, change of registered office.

REGISTERS

-------------


Maintain Directors and Secretary's registers.
Maintain Members register and issue and sealing of share certificates - (Where appropriate).
Maintain Seal register.
Maintain Registers of Associates.
Maintain Registers of Connected Customers/Insider list.

Risk


Assist with the maintenance of the teams various Company Secretarial Procedures.
Provide information to enable compliance to maintain error/breach reports and logs including liaison with Custodian and internal parties to ensure satisfactory conclusions.
Gather and have available KYC information for new Directors or other persons where required.
Assist with preparation of any Regulatory compliance visits.
Ensure compliance with London Stock Exchange requirements as appropriate.

MISCELLANEOUS

-----------------


Assist with review of all accounts, draft prospectuses, draft agendas for meetings, draft marketing material in accordance with appropriate legislation.
Maintain procedures in line with all legislative requirements under which funds operate and ensure all statutory returns are made accurately and on a timely basis in accordance with the law.
Review SLAs and ensure adherence and regular reviews are completed.
Prepare Directors' and Officers' Insurance Proposal Forms and ensure cover is maintained.
Arrange for client company letterhead to be set up and available.
Assist with training of junior staff.
Cover for team members when necessary.
Any other duties as delegated.

TECHNICAL SKILLS - PREFERRED EXPERIENCE

--------------------------------------------


Good knowledge of the offshore fund industry particularly with regards to the regulatory requirements.
An understanding of the offshore fund industry particularly with regards to the regulatory requirements.
Exposure to risk/compliance work in the context of fund administration.
Knowledge of the laws and regulations applicable to the management and administration of a fund operation.

(Full training will be provided as required)

QUALIFICATIONS & INDUSTRY EXPERIENCE

-----------------------------------------


Should hold or be working towards an industry relevant professional qualification such as ICSA.
Willingness to learn about the requirements and practicalities of regulated, listed & Private Equity clients
At least 2 years relevant industry experience.

COMPETENCIES

----------------


Strong team ethic
Effective communication and negotiation skills
Strong client service orientation
Goal driven
Excellent time management ability
The ability to work under pressure

Judgment and problem solving

Qualifications Supported:

ICSA
Regulation & Compliance
Investments & Operations

Regulatory Requirements

: 25 hours CPD