Investment Management Associate
Location: Blackpool (hybrid working available)
Salary: £35,000-£60,000
Overview
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
Qualifications
- 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.