Investment Administrator

OVERALL SUMMARY

The Investment Administrator’s primary function is to provide administration service support to the HNW team, managing the coordination and administration of all client related queries ensuring best practice is delivered without exception. They will report directly into the Senior Investment Director responsible for the clients.

RESPONSIBILITIES

Service levels & positive client outcomes

• Deliver levels of service expected by High Net Worth clients including assisting in the regular assessment and reporting of any change in client circumstances & suitability factors
• Continue to provide excellent client service to ensure zero incidents and complaints
• Consistently follow processes and ensure a great experience for the client
• Ensure adequate record keeping of client correspondence and conversations

Strategic planning

• Engage and participate where required in improvement initiatives, and provide constructive feedback to drive future initiative direction.

People

• Champion and demonstrate CBAM’s core principles, continuing to ensure a one team, one culture ethos across HNW, especially as teams grow in size and new talent is developed
• Actively participate in CBAM’s diversity and inclusion initiatives
• Ensure clear and effective communication with colleagues across HNW

REGULATORY RESPONSIBILITIES

Adhere to Risk & Compliance requirements

• Adhere to all Governance and Compliance requirements and all reporting and reviewing activities required by the Regulatory Bodies are carried out to the standards required
• Gather relevant AML documentation from new clients and complete detailed source of wealth, client risk rating and enhance due diligence where applicable in accordance with CBAM Due Diligence Standards and AML QA Procedures
• Complete client due diligence reviews and triggers in accordance with AML QA Procedures
• Ensure adherence to the Client and Third Party Payment procedures
• Comply with the PA dealing policy
• Ensure awareness of and adherence to the Financial Conduct Authority’s (FCA) conduct rules
• Ensure required training is kept up to date and completed within the set timeframe given by CBAM
• Comply with/Ensure adherence to the Gifts and Hospitality Policy and Expenses policy
• Ensure all client conversations are in line with FCA recording requirements
• Comply with office Health and Safety and Fire Safety Procedures

WE WOULD LOVE TO HEAR FROM YOU IF:

• Experience in a client facing Investment services administration role preferable but not essential
• Strong communication and interpersonal skills (verbal and written)
• Excellent organisational skills and attention to detail
• Resilient and reliable team player willing to respond and support various external and internal requests
• Excellent record keeping and reporting capabilities
• Strong IT and MS Office skills: Word (intermediate level), Excel (intermediate level – basic formulas), PowerPoint (intermediate level), Outlook (advanced level)

As an employer, Close Brothers Asset Management is committed to equality and valuing diversity within its workforce. We provide equality of opportunity and will aim to ensure that no employee’s or candidates are subject to discrimination on grounds of any characteristics including but not withstanding gender, gender identity, marital status, sexual orientation, race, colour, nationality, religion, age, disability, working pattern, caring responsibilities, political beliefs.

We appreciate that from time to time, recruitment agencies will have speculative CVs that they may wish to submit to our Talent Acquisition team in relation to a specific role.

To avoid any ambiguity around fees, please note that speculative CVs received by Close Brothers, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you.

At Close Brothers Asset Management, we are all connected by our mission to be the best place in the UK for wealth professionals and their clients. We are part of Close Brothers, a FTSE 250 leading UK merchant banking group.

We believe that everyone should think ahead, have a financial plan and invest wisely. Our clients are professionals, business owners, individuals, charities, families, and employers, who rely on our clear financial advice and investment management services to preserve and grow their long-term savings and investments.

We are a team of about 800 people based in 14 offices across the UK. Our geographic footprint means we can combine a local approach with face-to-face services to enable strong, long-term relationships with our clients.

Sustainability is fundamental to our purpose and we have a responsibility to help address the social, economic and environmental challenges facing our business, colleagues and clients. We strive to do the right thing and are dedicated to helping the charities that matter most to our people.

Our vision is to develop an open and inclusive company that ensures everyone is valued, respected and included, so that in years to come our business will represent a diverse and inclusive workforce from the top down.

We look to recruit individuals from all different backgrounds. If this job is of interest to you but you do not meet every criteria then we encourage you still to apply as we are open to providing training opportunities. As an early adopter of hybrid working we are open to discussing all types of flexible working options, helping you to balance your work and home life.