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For Companies 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.
- Why this job: Join a dynamic team and make a real difference in client investment journeys.
- Qualifications: RQF Level 3 qualification preferred; commitment to further qualifications required.
- Other info: Great career growth potential in a supportive and collaborative environment.
The predicted salary is between 30000 - 60000 £ per year.
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
- 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.
Investment Associate in Blackpool employer: RGH-Global | People Services
Contact Detail:
RGH-Global | People Services Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Investment Associate in Blackpool
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment world, attend industry events, and don’t be shy about asking for introductions. We all know that sometimes it’s not just what you know, but who you know that can land you that dream job.
✨Tip Number 2
Prepare for interviews by researching the company and its culture. We recommend practising common interview questions and tailoring your answers to highlight your skills in client service and portfolio management. Show them you’re the perfect fit for their team!
✨Tip Number 3
Follow up after interviews! A quick thank-you email can go a long way in showing your enthusiasm for the role. We suggest mentioning something specific from the interview to remind them of your conversation and keep you top of mind.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who are proactive and engaged with our platform.
We think you need these skills to ace Investment Associate in Blackpool
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Investment Associate role. Highlight your relevant experience in portfolio management and client service, and don’t forget to mention any qualifications that align with the job description.
Showcase Your Skills: We want to see your technical skills shine! Be sure to include your proficiency in Microsoft Word, Excel, and PowerPoint, as well as any experience with trading systems or market data platforms like Bloomberg. This will help us see how you can hit the ground running.
Be Professional and Personable: Since this role involves client interaction, it’s important to convey your professionalism and ability to build relationships. Use a friendly tone in your application while maintaining a level of formality that reflects your understanding of the industry.
Apply Through Our Website: Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at RGH-Global | People Services
✨Know Your Stuff
Make sure you brush up on your knowledge of investment management and the specific responsibilities of the role. Familiarise yourself with portfolio management systems and regulatory frameworks, as these will likely come up in conversation.
✨Showcase Your Client Skills
Since this role involves a lot of client interaction, be prepared to discuss how you've successfully managed client relationships in the past. Think of examples where you've adapted your approach for different client needs, especially vulnerable clients.
✨Prepare for Technical Questions
Expect questions that test your technical skills, especially around Microsoft Excel and trading systems. Practise explaining how you've used these tools in previous roles, and be ready to demonstrate your analytical skills with real-world scenarios.
✨Demonstrate Your Commitment to Compliance
Given the importance of regulatory compliance in this role, be ready to discuss how you've ensured adherence to regulations in your past experiences. Highlight any relevant training or certifications you have, and express your commitment to ongoing professional development.