Investment Associate
Core
Support Investment Directors in servicing, managing, and growing a panel of qualified IFAs and clients utilizing Discretionary Investment and Retirement Income Services (RIS).
Role type
Investment Associate (Intermediary Services)
Builds
Discretionary Investment and Retirement Income Services (RIS) for IFAs and clients
Domain
Financial Services / Wealth Management
Deliverable
client delivery
Required skills
cash reconciliation, investment processing, asset transfer management, portfolio restructuring, CRM data entry, tax task preparation, client suitability review support, prospecting support, regulatory compliance adherence
Preferred skills
knowledge of discretionary investment administration, knowledge of tax wrappers, knowledge of Pershing systems, Level 4 CISI IAD qualification
Technologies
CRM / Lynx, Microsoft Office, Pershing systems
Responsibilities
Undertake daily tasks including cash reconciliations, investments, payments, and withdrawals; oversee asset set-up and transfer for new clients; assist with portfolio restructuring and investment phasing; prepare CRRs and supporting documentation for annual client reviews; assist with annual CGT/ISA tax tasks; support prospecting and sign-up of new IFA firms; conduct portfolio analysis for new business meetings; ensure client activity is updated on CRM; adhere to SMCR conduct rules and FCA Consumer Duty principles.