Reports to: Head of Investment Operations
Purpose of role
The purpose of the role is to assist with the investment management and investment operation functions of the Ascot Lloyd Investment Management (ALIM) business, incorporating both the discretionary model portfolio service (MPS) and the firm’s range of OEICs, alongside operational and administration support for the firm’s private wealth service.
Prime duties involve the day to day trading function, administration and monitoring of the ALIM MPS and OEIC and Private Wealth solutions, working closely with both ALIM investment and compliance teams to ensure the continued success of the solutions. On-going support to the ALIM investment research teams and risk and compliance function are also a key aspect to the role.
Key Responsibilities - General
- Implementation and processing of trades for discretionary MPS and OEIC investments, including the utilisation of retail platform DFM tools and the daily management of OEIC cash inflows and outflows
- Involvement within monitoring and attestation processes for third party appointed fund managers, working closely with ALIM compliance teams to ensure adherence to regulatory and prospectus rules
- Production of promotional investment documentation, factsheets, Quarterly Investment Reviews, client email communications, and performance reporting.
- Assist with production of quantitative investment screens, on a monthly basis, working closely with the wider investment team.
- Pack production and preparation of data for the ALIM Investment Governance, Strategic Asset Allocation, and Risk Committees
- To assist the wider investment team with qualitative and quantitative Fund research
- Administration and record keeping for the ALIM portfolios - portfolio histories and performance information
- Assist investment admin team with preparation of ALIM’s weekly MI and AUM data as required
- Administration support for the ALIM Private Wealth (PW) service involving production of client letters and paperwork, data management and preparation of MI data, alert and trade log checking
- Attendance of ALIM PW meetings and minute taking
- ALIM PW performance reporting and submission to third parties.
- To support the Head of Investment Ops, Head of ALIM Private Wealth, ALIM CIO, MD, ALIM compliance and risk team and exec with ad hoc tasks and data as required
- Involvement with ongoing projects guided by the Head of Investment Operations, CIO, or MD.
- Build and maintain strong relationships with both internal and external stakeholders.
- Ensure trades are carried out in a timely and accurate manner and that processes are adhered to, to ensure that portfolios remain within specified regulatory / prospectus rules and follow the specified investment profile
- Ensuring FCA compliance in all aspects of investment department activities
- Responsible for identifying, escalating and mitigating risks
- To contribute to an effective and positive risk management culture at the firm
- To ensure necessary Client information is accurate for both the account take on process and ongoing
- Maintain appropriate level of ongoing CPD and minimum standards met within business area requirements
- To fulfil all level of compliance procedures to the highest standard
- To proactively implement and understand the regulatory environment and any changes communicated by the FCA that is relevant to wealth management
- To ensure all decisions uphold and demonstrate the highest standards of Treating Customer Fairly (“TCF”) and the Code of Business Sourcebooks (COBS)
Skills & Experience
- Experience – essential to have worked in the financial services industry with minimum of 3 years experience. Experience of investment management and/or operations of managing MPS portfolios via retail platforms and OEIC investment operations is beneficial.
- Qualification – Investment Management Certificate or equivalent level 4 qualification is beneficial, however not essential as can be undertaken as part of role.
- Industry knowledge –Knowledge of collective investment products and understanding of the IFA industry and FCA regulation are vital. Knowledge of regulatory frameworks including UCITS and NURS is also beneficial.
- Technical and technological knowledge – advanced IT skills and mathematical qualifications are required
- Key Professional Attributes – integrity, attention to detail, pro-active and ethical
- Personal Attributes – leadership skills, team player, organized, diligent, communicative, calm and measured approach
- Other Skills – visionary and appetite to progress
Key Behaviours:
- Professional, confident, enthusiastic and committed
- Logical analytical thought process with attention to detail
- Seeks opportunities for organisational improvement
- Modifies approach as changes occur to ensure results are achieved
- Focuses on clients needs and sets high standards, monitors and maintains quality productivity
- Be aware of and demonstrates an interest in the market
- Contributes to the long term strategic plan
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