Investment Analyst - Front Office

London, United Kingdom
17 Jun 2021
18 Jun 2021
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
With minimal supervision from the Investment Director and Manager, the Senior Associate must be able to undertake the following core requirements:

• Ensure the firm , as a firm, acts honestly, fairly and professionally - and in the client's best interests at all times.

• Understand the client types, structures and individual background to their clients (e.g. demographic, background, situation).

• Undertake all aspects of the portfolio management process across the end to end client lifecycle.

• Must develop and demonstrate an awareness and understanding of the competitive investment landscape and the impact s.

• Support Investment Manager and Director in all aspects of client relationship across the client lifecycle extending, but not limited to:
  • Preparation of materials and documents for client meetings in line with standards.
  • Attendance and participation at client meetings, carrying out client presentations, introductions and explanations, taking minutes/actions and distributing in a timely manner to colleagues and clients.
  • Liaise with clients to respond and deal with day to queries where appropriate; ensuring all correspondence is dealt with appropriately e.g. due diligence, request for proposals.
  • Ensure all general client communications is fair, clear and not misleading (COBS 4), and bring to compliance where concerns arise.
  • Undertake client research as relevant and directed.

• Support management in the day to day relationship of the client base, keeping them advised appropriately throughout the client lifecycle, extending but not limited to:
  • Working with the broader team to manage any corporate actions or similar.
  • Managing the documentation and processes involved in taking on and exiting of new clients e.g. suitability, and exiting clients transfer of assets.
  • Maintain KYC data for new clients, and ensure the proper recording of changes for existing clients.
  • Ensure all periodic reviews are completed in a timely and efficient manner, e.g. KYC reviews, suitability, tax related updates, valuations, performance calculations and attributions etc.

• Where relevant, work with the team to support production of tax planning activity, including providing the team with the necessary information required for ISAs, CGT.

• Where relevant, work with team to support production of audit packs and reconciliations.

• Assistance in the production of timely quarterly and bespoke client reporting, in line with relevant regulations (COBS 4 - Appropriate client communications and COBS 16 - Reporting to Clients).

• Support and help grow an existing client base, predominantly in Europe and the Middle East, with a range of different client types (institutions, family offices, private clients etc).

• Assist in handling complaints appropriately, fairly and in a consistent manner in line with policy and relevant regulation, namely Redress (DISP).

• Must be able to carry out further additional tasks as reasonably requested, over and above the core requirements as listed above.


With minimal supervision from the Investment Director and Manager, the Senior Associate must be able to undertake the following core requirements:

• Maintain a deep awareness and understand the practical application of the overall financial markets and its impact on the firm and its clients (macro and micro-economic factors).

• Assist the team in ensuring all positions are monitored and action taken in the light of market movements, decisions from the weekly Investment meetings or other changes in investment strategy.

• Liaise with key stakeholders, both internally and externally, to ensure portfolio positioning and performance are clearly communicated and investor queries addressed in the best possible manner.

• Assist the team with dealing activities, monitoring Bloomberg and/or Factset, and placing deals as directed .

• Must be able to undertake client data analysis as directed.

• Operate and maintain an understanding of core investment management systems and processes such as Symphony reporting suite, Bloomberg and/or Factset as relevant.

• Attend and provide input, at internal investment and stock selection meetings.

• Ensure Investment Director and Manager is kept fully aware of ongoing progress, priorities, risks and issues with appropriate upward escalation.

• Must be able to carry out further additional tasks as reasonably requested, over and above the core requirements as listed above.


Working with Investment Director or Manager, proactively ensure individual expectations are clear through development of objectives and goal setting, ongoing and in that performance year including:
  • Create regular opportunities to discuss performance and progress, and exchange feedback in relation to goals, expectations and areas of key competence.
  • Define and ensure development plans address immediate and long term role development priorities.

• Strengthen a sense of 'one team', encouraging collaboration and positive working relationships between the team and all in the Firm.

• Assist the Manager and/or Director in creating an environment that is collaborative and open, and where debate, discussion, adaptation and continuous improvement thrive.

• Ensure the team and oneself are fully aware and behave consistently with all regulatory, legal, standards and policy obligations, including awareness by the team of its' ongoing responsibility as first line of defence for regulatory compliance.

• Must be able to carry out further additional tasks as reasonably requested, over and above the core requirements as listed above.

Regulation and Policy

• Act as the first line of defence and be fully aware of and adhere to current and future regulatory (FCA) obligations and their application to the environment.

• Remain Fit and Proper (FIT)

• Certified Function 7 (client detailing under SMCR).

• Certified Function 4 (requires qualification under SMCR).

• Ensure full regulatory landscape is understood and complied with through adherence to compliance manual and processes, completion of relevant Continuing Professional Development (CPD) training, annual compliance training, ongoing assessment and associated record keeping for oneself.

• Work with Compliance Officer and MLRO to ensure understanding of the regulatory landscape is current and sufficiently complete across the team to competently deliver on all key priorities.


To the extent not already covered:

- Anything else that may be reasonably requested.

Personal skills, knowledge and talents required

Qualifications and Experience

The individual must have the appropriate FCA qualification:

• CFA Investment Management Certificate (IMC), or equivalent, for CF7 responsibility.

• CISI Diploma (or equivalent qualification e.g. Masters in Wealth Management), for CF7 responsibility.

• Ongoing appropriate CPD (e.g. CISI modules/certificates as relevant to gain CISI diploma).

Skills and Capabilities

The individual is expected to demonstrate the following, working with our clients and colleagues:

• Absolute focus on client service

• Natural interest in markets and investments.
  • Native speaker of a European language (e.g., German, Italian, French) with a very high standard of oral and written communication in English, proficiency in other European languages is also desirable.

• High standard of oral and written communication. Ability to communicate well over a range of mediums e.g. webinar, presentation, meeting, email etc.

• Deep understanding of core Investment Management IT systems, e.g. Bloomberg, Factset, Pulse/Symphony.

• Exercise judgement, intellectual rigour and clarity of thought.

• Strong attention to detail, ease with numbers and analytical mind.

• Emotional intelligence (adapting to, interpreting and engaging with others).

• An understanding of cultural awareness when dealing with others.

• Assertiveness and willingness to challenge the status quo and express own opinion in a structured, balanced manner.
  • Strong command of excel and rest of Microsoft Office suite.
  • Experience responding to RFPs and DDQs .

• Experience dealing with queries from wholesale and institutional investors.

• Potential to grow in the role, ultimately looking after own book of investors.

Values and Behaviours

The individual is expected to demonstrate the following, working with our clients and colleagues:

• Appreciation of, and alignment to standards and values.

• Ethical - knowing (and demonstrating through day to day role) what is right, fair, honest and relevant to clients.

• Humble and respectful of, and empathy towards others.

• Integrity in everything we do.

• Self-motivation, self-starter, bright, curious and propensity for continuous development and a force of proposition on continuous process improvement.

• Dynamism, collaborator and contributor in a team environment.

3- 7 years in Investment Management


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