At a Glance
- Tasks: Support Investment Managers in delivering top-notch portfolio management and client service.
- Company: Established wealth management firm with a focus on integrity and professionalism.
- Benefits: Competitive salary, hybrid working, and opportunities for professional development.
- Other info: Exciting career growth potential in a supportive and collaborative environment.
- Why this job: Join a dynamic team and make a real impact in client investment journeys.
- Qualifications: Desirable RQF Level 3 qualification; commitment to further professional development required.
The predicted salary is between 30000 - 60000 £ per year.
Location: Blackpool (hybrid working available).
Salary: £35,000-£60,000.
Overview
An established discretionary wealth management firm is seeking an Assistant Investment Manager (Client Dealing) to support Investment Managers in delivering high‑quality portfolio management and client service. This role provides comprehensive investment and administrative support, ensuring efficient portfolio oversight, accurate client reporting, and adherence to regulatory and internal governance standards. The successful candidate will act with integrity and professionalism at all times, prioritising positive client outcomes and regulatory compliance.
Key Responsibilities
- Client & Investment Support
- Work closely with an Investment Manager to support the development and maintenance of client relationships, delivering excellent service and adapting appropriately for vulnerable clients.
- Draft client correspondence and meeting documentation.
- Prepare portfolio reports, performance data and supporting materials for client meetings and presentations.
- Assist with suitability reviews by collating relevant client and portfolio information.
- Maintain accurate and up‑to‑date client records, including documentation of meetings and communications.
- Portfolio Monitoring & Administration
- Support ongoing portfolio monitoring in line with firm models and procedures.
- Assist with reviewing tolerance and exception reports, highlighting discrepancies for Investment Manager review and supporting follow‑up actions.
- Ensure client valuations and tax documentation are accurate, complete and issued in accordance with regulatory standards.
- Provide administrative support for account opening, client onboarding (including CDD/KYC), stock transfers and day‑to‑day portfolio administration.
- Assist in resolving client queries or complaints, escalating to Compliance where required.
- Support remedial actions arising from compliance monitoring or advice reviews within agreed timescales.
- Dealing & Execution
- Place trades based on instructions from Investment Managers, ensuring accurate execution and booking within the relevant systems.
- Accept and process client execution‑only orders for non‑complex instruments in line with documented procedures and regulatory requirements.
- Following certification, undertake investment research under the direction of the Investment Manager and within firm guidelines.
- Business Development & Relationship Management
- Assist with preparing pitch materials and presentations for prospective clients.
- Support the management and updating of new business pipeline reporting.
- Liaise, at the direction of the Investment Manager, with financial planners, intermediaries and product providers regarding client investments and tax matters.
- Identify opportunities to introduce clients to additional services within the wider organisation.
- Contribute to the achievement of team targets through efficient servicing of existing and new clients.
- Additional Responsibilities
- Maintain FCA Certification requirements, demonstrating ongoing Fitness & Propriety.
- Complete and record appropriate Continuing Professional Development (CPD).
- Identify opportunities for process improvement and contribute to efficiency initiatives.
- Support wider team projects and assist in the development of junior colleagues where required.
- Provide broader front‑office support as needed.
Candidate Profile
Qualifications
- RQF Level 3 (CISI) qualification – desirable.
- Commitment to achieving RQF Level 4 (e.g. CISI Investment Advice Diploma) within an agreed timeframe (minimum requirement for Certification).
- Assessed as Fit & Proper under the FCA Certification Regime (or eligible to obtain).
Technical Skills
- Strong working knowledge of Microsoft Word, Excel and PowerPoint.
- Experience with portfolio management and trading systems.
- Familiarity with market data systems such as Bloomberg, FactSet, Fidessa or equivalent.
- Understanding of internal procedures and regulatory frameworks relevant to client dealing.
Regulatory & Conduct Awareness
- Sound understanding of FCA regulatory requirements applicable to client dealing roles.
- Demonstrates integrity, due skill and care, and commitment to fair client outcomes.
- Maintains high standards of market conduct and regulatory cooperation.
Assistant Investment Manager employer: RGH-Global Ltd
RGH-Global Ltd is an excellent employer, offering a supportive work culture that values professional growth and development. Located in Sheffield, employees benefit from a generous 33 days of annual leave and life assurance, making it an attractive place for those seeking a rewarding career in the legal field.
StudySmarter Expert Advice🤫
We think this is how you could land Assistant Investment Manager
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance world, especially those who work in investment management. A friendly chat can lead to insider info about job openings that aren't even advertised yet.
✨Tip Number 2
Prepare for interviews by practising common questions related to client dealing and portfolio management. We recommend role-playing with a friend or using online resources to get comfortable with articulating your experience and skills.
✨Tip Number 3
Showcase your knowledge of regulatory frameworks and market conduct during interviews. This will demonstrate your commitment to integrity and professionalism, which are key in the investment management field.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who take the initiative to engage directly with us.
We think you need these skills to ace Assistant Investment Manager
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter for the Assistant Investment Manager role. Highlight your relevant experience in client dealing and portfolio management, and show us how you can deliver excellent service to clients.
Showcase Your Skills:We want to see your technical skills shine! Mention your proficiency in Microsoft Word, Excel, and any portfolio management systems you've used. If you have experience with market data systems like Bloomberg or FactSet, don’t forget to include that too!
Demonstrate Your Understanding of Regulations:Since this role involves compliance and regulatory standards, it’s crucial to show us that you understand FCA requirements. Share any relevant experiences where you’ve adhered to regulations or improved processes in previous roles.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows us you’re keen on joining our team!
How to prepare for a job interview at RGH-Global Ltd
✨Know Your Stuff
Make sure you brush up on your knowledge of portfolio management and client dealing. Familiarise yourself with the regulatory frameworks and internal procedures relevant to the role. Being able to discuss these confidently will show that you're serious about the position.
✨Showcase Your Client Skills
Since this role involves a lot of client interaction, be prepared to share examples of how you've successfully managed client relationships in the past. Highlight any experience you have with vulnerable clients and how you adapted your approach to meet their needs.
✨Prepare for Technical Questions
Expect questions about your technical skills, especially regarding Microsoft Excel and portfolio management systems. Brush up on your ability to analyse performance data and prepare reports, as these are key aspects of the job.
✨Demonstrate Your Commitment to Compliance
The firm values integrity and professionalism, so be ready to discuss how you ensure compliance in your work. Share any experiences where you identified discrepancies or contributed to process improvements, as this will show your dedication to maintaining high standards.
