Investment Managers Assistant

Job Purpose:     

Investment Managers' Assistants are responsible for actively supporting investment managers in their daily business across wide-ranging administrative and organisational functions. Providing an accurate and efficient service helps maintain a strong relationship between investment managers and their clients.

The role entails providing administrative support to a small but high functioning team of investment managers who are responsible for a range of discretionary and advisory clients.

This is a non-regulated position where the primary function is assisting with the administration of investment portfolios and client records, handling client queries and liaising with the Operations department. While you will assist in the management of client relationships, this role is primarily an administrative one. 

Senior Managers and Certification Regime:

Key Areas of Responsibility:

• Providing full administrative services for the team.
• Answering the telephone and transferring calls / taking messages and recording telephone notes on client files.
• Maintaining records such as the H&S log, Financial Promotions log, Safe log, Complaints log.
• Completing dictation transcriptions.
• Ensuring valuations are produced and despatched to clients within regulatory timescales.
• Personal compliance with all regulatory issues and promotion of compliance culture throughout your department.
• Identify ways to improve efficiencies.
• To assist in all aspects of opening and maintaining client accounts, including obtaining AML documentation.
• Keeping client information up to date and assisting in the production of client suitability reports. Such roles may well involve communicating directly with clients, and intermediaries, i.e. solicitors and accountants.
• To follow the progress of new investments coming into Charles Stanley, and to follow up any problems/issues which may arise.
• To liaise with the accounts department over cash movements and to administer payments, including currency payments.
• Setting up, closing, and managing client files, ensuring all information is up to date and accurate.
• Ensure that compliance regulations are adhered to. 
• Follow up potential new client connections ensuring that the necessary forms are completed and fully processed. 
• Manage occasional special projects, such as collection of Know Your Client (KYC) information.
• Assist with Probate valuations and sales. 
• Responding to corporate actions including notifying clients.
• Preparing documentation for potential new clients for IMs.
• Providing IMs with MI to support client suitability processing.

Information Provider 

This role is classified as an Information Provider under MiFID II Regulations, i.e. a person who provides information on behalf of Charles Stanley, about financial instruments, investment services and/or ancillary services to clients.

As an Information Provider you must be able to demonstrate the appropriate knowledge and competence to carry out this activity, including six months’ experience in the role. Once assessed as competent, Information Providers should have an annual re-assessment of competence. 

Information Providers must also maintain their competence by undertaking Continuing Professional Development (CPD) on an annual basis.

Qualifications & Experience:

• Educated to GCSE or equivalent level, including Maths and English.
• For IP Level 1, whilst not essential an industry recognised qualification would be an advantage. IP Level 2 requires successful completion of the CISI IOC Unit 1 - Introduction to Securities & Investment, or equivalent.
• Previous experience of working in a similar environment is preferred.

Knowledge & Skills:

• Good communication skills, both written and verbal.
• Highly organised, and numerate. 
• The ability to work under pressure whilst maintaining a high level of attention to detail and accuracy is essential. 
• A high degree of initiative is expected in relation to problem solving and identifying and taking on tasks. 
• A strong team player. The role involves supporting a number of Investment Managers and having the flexibility to adapt to their particular styles of working is key.
• An enthusiastic, ‘can-do’ attitude, combined with a personable manner.