Senior Investment Managers Assistant

Job Purpose:
This is a non-regulated position supporting the Branch 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 clients.
To provide a high standard of administrative support assisting in the administration of portfolios and client records, handling client queries and liaising with other internal Departments when needed.
This role will require you being signed off as a Level 2 Information Provider and you will need to have passed the CISI L3 ‘Introduction to Securities & Investments’ module. Key Areas of Responsibility:

Assisting in the provision of a full range of administrative services for the team.
Processing the outgoing/in coming DX and Royal Mail.
Scanning, shredding and photocopying documentation when required.
Preparing, printing, and providing IMs with the documentation required for meetings.
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 with 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 such as solicitors and accountants.
Preparing the documentation for potential new clients for IMs.
Follow the on boarding procedures for setting up new clients or upgrading clients, checking the documentation, and ensuring all relevant information is attached to enable IMs to write reviews.
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.
Following up potential new client leads, 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.
Subject to qualifications and relevant experience:

Assist with the preparation of client reports.
Provide input in recommendations for switches.
Implement transactions (buys and sells), as well as CGT calculations and valuations history.
XO dealing as instructed.

Responding to corporate actions including notifying clients.

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) including Maths and English. A-Levels preferred.
CISI L3 Introduction to Securities & Investments – required. Holding the full Investment Operations Certificate qualification would be an advantage.
Previous experience of working in a similar environment along with a general understanding of the stock market and investment operations – required.

Knowledge & Skills:

An understanding of our products, services, and governance arrangements.
Highly organised and numerate.
Good communication skills, both written and verbal.
High level of accuracy and attention to detail.
Able to use initiative.
Strong team player.
Ability to work well under pressure.
Flexibility and the ability the adapt to different styles of working is key.
Good IT skills with a good working knowledge of Excel and Word.
Enthusiastic ‘can do’ attitude, combined with a personable manner.