Director, Compliance and Operations Officer, Part time

Recruiter
Staude Capital
Location
London, United Kingdom
Salary
Competitive
Posted
06 Aug 2022
Closes
05 Sep 2022
Ref
16253467
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Background on role

Staude Capital is looking for a reliable and experienced compliance and operations operator to become part of our highly focused team. This person would head up the compliance side of our business and step into the role that our compliance host has performed in the past. In addition, we would need this person to take on operational projects that come up from time to time. We envisage that this person would also sit on the board of our UK company.

The Role

The role would be for 24 hours a week including an 8-hour Wednesday each week at the Staude offices in Moorgate. Initially the new joiner would start off working with our compliance host to understand all the compliance parts of our business with the view of bringing every function in house. In tandem, this person would also begin and coordinate the full scope AIFM FCA application process. Ideally, we are looking for a candidate that has experience but isn't afraid to get their hands dirty in the nitty gritty either. We need a person that knows how to get things done and isn't afraid to step in and support colleagues.

Compliance Duties
  • Joining the board of Staude Capital Limited to become a Director (CF1)
  • Taking on the Compliance Oversight Role (SMF16, previously CF10))
  • Taking on the Money Laundering Reporting Officer (MLRO) role (SMF17, previously CF11)
  • Taking on all compliance related responsibilities
  • Arranging and monitoring all compliance training and regulatory updates.
  • Ensuring their own education and training on all compliance and regulatory issues.
  • Transitioning our move from our current compliance host
  • Application to the FCA for our own full scope AIFM license.
  • Onboarding new clients into SVF
  • Onboarding new investments
  • Onboarding new brokers for existing funds and or existing and new mandates
  • Ensuring all our Compliance Guidelines are accurate and appropriate at all times and updated annually as required.
  • Ensuring all our Compliance Policies are accurate and appropriate at all times and updated annually as required.
  • Onboarding a new prime broker if necessary.

Operational Duties
  • Coordinating the management and implementation of Managed Accounts.
  • Potentially managing a change of fund administrator or prime broker in the future.
  • Carrying out work on NAV packages.
  • Working out the insurance policies required across the businesses.
  • Organise board meetings, prepare the agendas, review the minutes, and ensure directors sign all relevant documents.
  • Sorting out BUPA for the firm
  • Onboarding better IT support
  • Writing references for former employees
  • Organising interns
  • Negotiate legal agreements
  • Ratings agency questionnaires
  • ESG reporting
  • Support on audits
  • Ensuring all policies and charters are up to date and relevant
  • Reading and understanding tax memos to relay back to fellow directors
  • Checking and confirming the expenses and accruals of the various entities
  • Co-ordinating a CIMA waiver for SVF with lawyers
  • Investigating any compliance, regulatory or operational issues that Board believes is necessary.


This list is by no means exhaustive and compliance and operational roles will come up from time to time outside of this spec that will require initiative and solving. We are a small 'can do' firm where everyone chips in to solve problems

Requirements

Candidates will need the following attributes to fulfil the role successfully:
  • Attention to detail and the ability to work without error.
  • Thoughtful with an ability to listen intently and focus on what people say.
  • Ability to communicate with clarity both verbally and in writing.
  • Willingness to be proactive and flexible to get the job done.

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