Emma Stevens - Principal

Emma Stevens – Principal

Emma has spent over 17 years in the financial services industry, including fourteen years at Goldman Sachs International. She was a compliance officer for 7 years covering businesses including equities and derivatives. In January 2010 she moved to join the Prime Brokerage Consulting team. During her time in this role she focused on regulatory analysis within both the prime brokerage business and also assisting hedge fund clients with their implementation. She was also responsible for assisting clients with building their businesses primarily in the areas of corporate governance, including board construction considerations, as well as with operational set up, due diligence questionnaire construction and service provider analysis and selection across many functions. Her client based ranged from new fund launches to multi billion dollar firms covering both the traditional offshore hedge fund market and also UCITS funds and she maintains relationships with many 3rd parties in the space; from legal and compliance firms to software, insurance and admin/custody providers.
Prior to working at GS Emma worked at EO.com, an internet start up where she assisted with the initial firm set up across many areas and ran the client services team.
Emma received her degree in Business Studies from Middlesex University in 1997 and is based in London.
As well as serving as an independent director, Emma also provides consulting services including:

1. New Business Set-up/ Interim COO
• Assist with initial firm set up including timeline and project plan
• Discuss regulatory requirements including jurisdictional considerations, fund structures and fees
• Help with selection of service providers from professional advisers to software solutions, constructing and attending beauty parades and evaluating proposals across multiple functions

2. Operational Due Diligence
• Help with creation of manager and fund operational due diligence questionnaires
• Assist with responses to other standard investor questions or requests

3. Vendor reviews/ audits
• Work with the business on production of a periodic vendor review program and implement across all service providers as needed including production of any management or board reporting
• Understand focus areas or current concerns on an ad hoc basis and liaise with relevant vendor to correct the issue

 

4. Compliance and Regulation
• Liaise with both the manager and any existing 3rd party compliance or legal provider to construct and carry out ad hoc or ongoing monitoring programs
• Assist with analysis and implementation of new regulation including working on policy and procedure updates

5. Internal Audit
• Construct and conduct periodic review process for all internal operational, risk and compliance policies to ensure records are accurate, procedures followed and all documents are up to date and consistent

6. Ad hoc projects
• Work with the business on any ad hoc projects; which could include analysis of possible new software, conducting an RFP process for a new service provider or assisting with a new product/fund launch, software implementation etc


To get in touch with Emma: