Junior Investment Associate

Location: Edinburgh (hybrid working available)

Salary: £30,000-£35,000

Purpose of the Role

This role provides investment management support to Investment Managers and the wider portfolio team, helping to deliver strong client outcomes. Working efficiently within a compliance-led framework, acting honestly, fairly and professionally in the best interests of clients at all times.

Key Responsibilities

• Work alongside an Investment Manager to support client relationships, delivering excellent service and adapting approach appropriately for clients in vulnerable circumstances.
• Draft client communications and meeting notes on behalf of the Investment Manager.
• Prepare portfolio information and performance data ahead of client meetings and presentations.
• Ensure client valuations and tax packs are accurate, complete, and issued in line with internal standards and regulatory requirements.
• Provide administrative support for ongoing monitoring of client portfolios, flagging any portfolios outside tolerance for the Investment Manager's review and assisting with resulting actions.
• Support suitability review processes to help the Investment Manager deliver good client outcomes.
• Once certified, carry out research under the direction of the Investment Manager, in line with firm standards.
• Maintain accurate, up-to-date client records covering telephone, face-to-face and email contact.
• Support timely resolution of client queries or complaints, escalating to Compliance as needed.
• Gather client information required for CDD/KYC purposes to support account opening and stock transfers; assist with account opening and day-to-day portfolio administration.
• Support remedial actions arising from compliance monitoring or advice checks, within agreed timescales.
• Place trades on the firm's dealing platform based on instructions received from Investment Managers, ensuring accurate execution and booking.
• Take and place non-complex execution-only client orders in line with documented procedures.
• Help build and grow client and intermediary relationships with professionalism and integrity; liaise with financial planners, intermediaries, product providers and IFAs as directed.
• Maintain and update the new business pipeline report and related systems.
• Prepare pitch documents and presentation materials for prospective clients, under the Investment Manager's direction.
• Identify opportunities for internal referrals to other services within the wider group.
• Support the team in achieving targets through efficient servicing of new and existing clients.
• Carry out other duties reasonably requested by management.

Additional Responsibilities

• Work towards and maintain Fitness & Propriety standards required for Certification, including passing annual assessments.
• Proactively develop industry and market knowledge; complete and log relevant CPD.
• Identify and report potential process improvements, contributing to best-practice initiatives.
• Undertake ad hoc projects as directed by the Investment Manager or wider front office management.
• Support the development of junior colleagues within the investment management team.
• Support colleagues with client-facing workload while contributing to the investment process.

Person Specification

Qualifications

• CISI Level 3 (or equivalent) – desirable.
• Willingness to work towards CISI Level 4 Investment Advice Diploma (or equivalent) within an agreed timeframe – minimum requirement for Certification.
• Must be assessed as Fit & Proper under the Certification Regime.

Systems & Process Knowledge

• Proficient in Word, Excel and PowerPoint.
• Strong understanding of internal procedures and processes (training provided).
• Working knowledge of a core wealth management dealing platform (training provided).
• Exposure to market data/trading systems such as Bloomberg, Fidessa, Alpha or FactSet advantageous.

Regulatory Awareness

• Sound understanding of relevant regulatory and compliance requirements, escalating concerns promptly.

Core Skills

• Able to work unsupervised.
• Excellent client service skills.
• Strong communicator with good presentation skills.
• Highly organised with strong time management; able to work under pressure to deadlines.
• High accuracy and attention to detail.
• Strong interpersonal, team-working and influencing skills.
• Professional, flexible and proactive approach.
• Good understanding of appropriate boundaries around client contact.