Thomas Elliott Email & Phone Number

London, Gb

London, United Kingdom

Ensuring effective product development and management for collective investment schemes by working closely with sales, portfolio management, legal, compliance and operations including launching, closing restructuring umbrella funds, sub funds and share classesActing as a source of technical product expertise within the business and for prospective and existing clientsResponsible for maintaining market appeal and regulatory integrity, including addressing constantly evolving legal, regulatory, tax and industry developmentsAssisting in the management of third party relationships for the fundsMaintaining fund documentation for including prospectuses, KIIDS and legal agreementsDocumenting fund procedures and maintaining fund filesAttending management company board meetings and dealing with arising actions and issuesMajor achievementsResponsible for launch of Dutch UCITS FGR fund with EUR2.5bn initial seed investment by way of in specie transfer including arranging passport of Irish management company to the NetherlandsResponsible for launch of Dutch UCITS FGR feeder funds to Irish UCITS Common Contractual FundsResponsible for launch of Irish UCITS Euro money market fund with variable NAV and moving EUR1.4bn assets from existing constant NAV money market fundLaunching new sub funds under Irish UCITS Common Contractual Fund and Irish UCITS VCCManaging large project around ADL implementation for existing funds to improve its function of protecting investors Leading project to convert an Irish domiciled unit trust from a QIF to UCITS

Assisted in set up and management of documentation for launch of UCITS III fund, applications for Finma authorisation and FSA recognition and advised on COBS 4 rules relating to financial promotions of regulated and unregulated collective investment schemes.

Assisted ex Man spin out company to establish and run fund of fund platform by providing compliance and legal support and drafting policies and procedures for ISO/IEC 27001 audit

Structured and negotiated joint venture deals, working capital loans and new manager affiliations ensuring successful executionResponsible for approving final drafts of all legal documentation prior to execution and investmentManaged documentation process ensuring correct prioritisation to meet investment deadlinesResponsible for creating, implementing and ensuring compliance to new governance policy and procedure for all new fund investments with clear audit trailImplemented Chinese Wall in relation to commercial terms of fund investments to manage conflict of interests and ensure protection of investors’ best interestsEstablished and maintained process for Group Finance Committee approval to proprietary investments and working capital loansAppraised legal reviews of fund documentation prior to investment, escalating identified risks to CEO or COO as necessary and creating audit trail of decisionsCo ordinated launch of in house managers and funds with FSA approvalsEstablished and maintained process to keep all relevant parties updated of progress of negotiations

Negotiated documentation relating to two managed accounts and arranged launches resulting in substantial inflows into long/short equity strategyCoordinated launch of single manager long/short equity hedge fundResponsible for answering all due diligence including detailed questionnaires and ad hoc queries and established and maintained Q&A database providing accurate and consistent responsesConducted full operational due diligence of front, middle and back office, risk management and disaster recovery processes with prospective and existing investors and acted as central point of contactMarketed three single manager hedge funds with potential and existing investors and built and managed excellent relationships with key investorsCompiled and enhanced monthly factsheets for hedge funds and data for marketing presentations ensuring compliance with best practiceMonitored net inflow / outflows into hedge funds to enable correct levels of investment exposure

Ensured compliance with Companies Act, Memorandum and Articles of Association, LSE Listing Rules, Model Code and FSA RulesDrafted and circulated minutes and worked with board of directors to resolve ad hoc issues, seeking and implementing external advice where appropriate Produced annual and interim report and accounts by liaising with directors, fund managers, compliance, internal company accountants and external auditorsDrafted and processed appropriate notifications relating to Jupiter Group shareholdings as required by the Companies Act, City Code on Takeovers and Mergers and LSE Listing RulesPublished required information to the market and ensured the security of unreleased price-sensitive information

Sii Diploma In Investment Compliance

Full Investment Management Certificate

Msc Corporate Governance/Institute Of Chartered Secretaries And Administrators Exams

Bar Finals

Bachelor Of Laws With Second Class Honours