Investment Associate

One of the UK’s leading Investment Managers is currently seeking to recruit an Investment Associate to join one of their established teams. The role would suit a graduate or a graduate with 1 year’s office experience seeking learn and develop within the IM sector.

This role is responsible for the provision of investment management support to Investment Managers and the wider team to help to deliver good client outcomes. Work efficiently and effectively adhering to the Company’s processes within the compliance framework. At all times ensure full compliance with the regulatory and organisational procedures, act honestly, fairly, and professionally in accordance with the best interests of the Company’s clients.

Key Responsibilities:

• Shadow the Investment Manager to support the development and maintenance of client relationships, providing excellent client service, following business standards, adapting your approach for clients in vulnerable circumstances.
• Assist the Investment Manager by drafting client communications and meeting notes.
• Prepare client portfolio information and performance data to support client meetings and presentations.
• Ensure that client valuations and tax packs are accurate and complete and issued to the client, in accordance with business standard and regulatory requirement.
• Assist the Investment Manager with the ongoing monitoring of client portfolios in line with company procedures and models. Support the Investment Manager with their ongoing review of tolerance reports, identifying any portfolios out of line and support the Investment Manager in completing the required actions.
• Support the Investment Manager with information to enable them to conduct their suitability reviews, in line with business standards, to enable them to deliver a good client outcome.
• Undertake research as required by the Investment Manager.
• Support the Investment Manager to ensure client records and files are kept up to date with telephone, face to face and email discussions with the client.
• Ensure client queries/complaints are resolved in a timely manner, escalating to the Compliance team where required.
• Assist the Investment Manager in ensuring that all relevant client information is obtained for CDD and KYC purposes to enable swift account opening and stock transfers. Assist with account opening process and day to day portfolio administration, as required.
• Following any Compliance monitoring and advice checks, support the Investment Manager to complete any remedial action within the prescribed timescales ensuring good client outcomes.
• Place trades in Avaloq based on received instructions from Investment Managers, ensuring they are executed and booked correctly.
• Take orders from clients in the Execution Only Service on non-complex instruments and place these in Avaloq based on received instructions from the client, ensuring they are executed and booked correctly, in accordance with documented procedures.
• Demonstrate the Fitness and Propriety requirements for the FCA Certification Function for the role to be able to pass the annual assessment and continue to be Certificated by the Company.
• Help the Investment Manager to build, maintain and continue to grow strong client and intermediary relationships with professional conduct and integrity. Liaise with Canaccord Wealth Financial Planners/intermediaries/product providers/IFAs at the direction of the Investment Manager about clients' investments and taxation issues.
• Help the Investment Manager to maintain and grow internal and external relationships to assist in business growth. Manage and update the new business pipeline report, updating systems and reports as required for the Investment Manager.
• Prepare pitch documents for prospective clients and with other presentations that the Investment Manager may make.
• Identify opportunities to make introductions to other services within the company or wider Group.
• Assist in achieving the team’s target through the efficient servicing of existing and new clients.
• Carry out any other relevant duties within the remit of the role and as reasonably directed by management.

Qualifications and Skills:

• Graduate Level: Ideal for recent graduates seeking to commence a career in Investment Management.
• Team Player: Strong team player with solid interpersonal skills and an adaptable mindset.
• RQF (Regulated Qualification Framework) Level 3 CISI qualification (or appropriate equivalent) - Desirable
• Commitment to achieve a minimum of RQF Level 4 qualification - CISI Investment Advice Diploma or appropriate equivalent qualification within agreed timeframe.
• Has been assessed as Fit & Proper to execute their role under the Certification Regime.

On Offer:

• Competitive Salary: Enjoy a salary of up to £35,000, commensurate with your skills and potential.
• Comprehensive Benefits: Receive healthcare, pension contributions, and additional benefits to support your well-being.
• Bi-annual Bonus: Earn a bonus for your contributions to team success.
• Hybrid Working: Benefit from flexibility in work arrangements to promote work-life balance.

An excellent opportunity for a motivated graduate seeking to enter the world of Investment Management.