Senior Consultant

Superb opportunity exists for an experienced Senior Manager level with an in depth knowledge of the listing rules. You will either be well versed in carrying out a full cosec service to a client portfolio or have ideally operated at Senior Assistant level within an AIM or Main market listed company

Main Responsibilities and Duties

Administer and monitor a varied client portfolio with an emphasis on UK listed Investment Trusts within the timescales set and agreed, investigating and suggesting enhancements where necessary, ensuring timely and effective client care
Possess specific technical knowledge of listed corporates and funds (in particular Investment Trusts), the Companies Act 2006, Market Abuse Regulation, The Listing Rules and Continuing Obligations including the Disclosure & Transparency Regulations and AIM rules. The UK Corporate Governance Code and AIC Code.
Understand the relevant legislation and ensuring that all activities undertaken meet legislative requirements
Attend and minute board, committee and shareholder meetings, travelling to client locations as required
Draft board papers, assemble board packs and ensure distribution to client boards
Provide review and comment on corporate documentation as required by client and in conjunction with other advisors
Support the review of the corporate governance section of annual and bi-annual reports in conjunction with direct supervisor, fund accountants and advisors
Draft company materials including announcements and statutory filings, as appropriate
Lead the internal board evaluation process for client portfolio.
Undertake corporate governance framework reviews, as required.
Act as “trusted advisor” to client portfolio.
Provide support on corporate governance issues to client portfolios on matters such as NED remuneration, board diversity, ESG.
Review client structures, complete review processes for client entities, remain aware of risk exposure, including the fulfilment of responsibilities under the review procedures
Review legal and tax advice where appropriate and be able to interpret /implement relevant advice as required
Maintain accurate and up to date records of client entities, ensuring all statutory obligations are complied with
Keep clients’ records up to date and ensure all statutory registers are maintained
Receive, monitor and keep up to date with constitutional, regulatory and listing requirements as applicable to individual clients
Take responsibility for various other aspects of our service offering, including developing client relationships, keeping up to date with best practice and helping disseminate the same to the wider team, undertaking office administration including billing and project work, as appropriate
Deal with correspondence, the collating of relevant information and writing of reports, ensuring decisions made or action points agreed are communicated to the relevant parties and completed within timescales set and agreed
Provide contribution to meeting discussions, as and when required
Liaising with Chairs and Non Executive Directors.
Liaising with external regulators and advisers, such as investment managers, lawyers and auditors
Assist with the production, where necessary, of relevant policies and procedures including the development of a knowledge bank
Manage own billing and cash collection / debtors process, have an awareness of recoverability and work in an efficient manner so as to minimise write-offs
Remain aware of the obligations for the reporting of unusual transactions and act as a guide to the Department in this respect
Confident managing own deadlines and diarising workloads