Business Growth & Commercial Contribution

• To contribute to the growth and sustainability of the Investment Management business through client retention, deepening of existing relationships and support of new client acquisition.
• To work collaboratively with Private Bankers, Wealth Planners and other partners to develop appropriate investment solutions and present these clearly and compellingly to prospective clients.

Governance, Conduct & Professional Standards

• To manage all client affairs in a fully compliant manner, adhering to FCA and PRA Conduct Rules, Treating Customers Fairly principles and internal policies and procedures.
• To take ownership of conduct and investment risks inherent in the role, ensuring issues are identified, escalated and managed appropriately.
• To act at all times with integrity, professionalism and sound judgement, representing the firm positively to clients, colleagues and external stakeholders.

Key Interfaces

• Wealth Planning Team
• Private Banking Team
• Executive Management Team
• Clients (& Client representatives)

Person Specification

Knowledge / Experience / Skills

• Role falls within the FCA Certification Regime, with responsibility for compliance with all applicable regulatory requirements.
• Demonstrable experience as an Investment Manager within an HNW private client environment, with primary responsibility for managing client relationships and portfolios.
• Strong end-to-end understanding of discretionary investment management, including suitability, portfolio construction, implementation and ongoing reviews.
• Completion of at least Level 6 RDR-compliant investment or wealth management qualification (e.g. CISI PICAM, Wealth Management Masters or CFA) evidencing a solid technical foundation.
• Eligible for, or holding, a current Statement of Professional Standing (SPS) and any required regulatory approvals (e.g. Certification Regime (Certified Function) where applicable).
• Sound understanding of regulatory, conduct and investment risk considerations, with the ability to identify, manage and escalate risks appropriately.
• Strong analytical capability, with the ability to interpret research, market data and house views and apply them effectively to client portfolios.
• Confident, credible communicator able to engage professionally with HNW clients, intermediaries and senior internal stakeholders.
• Well-developed organisational skills, capable of managing multiple client portfolios, priorities and deadlines while maintaining consistently high standards.
• Commercially aware, with the ability to contribute to client retention, relationship deepening and new business activity in collaboration with colleagues.
• Comfortable operating with autonomy and accountability, while working within agreed house investment philosophy, policies and model frameworks.

Key Skills

• Conducts client reviews and delivers suitable personal recommendations, exercising sound judgement aligned to client objectives and house views.
• Strong understanding of modern portfolio theory, asset allocation and the impact of market, credit, liquidity and behavioural risks.
• Able to contribute to and then follow house policy and models. (This role will not appeal to those who do not wish to follow mutually agreed house models.)
• High standard of professionalism, integrity and discretion, maintaining trust and long-term client relationships.
• Resilient and effective under pressure, managing competing demands without compromising risk, quality or client outcomes.
• A collaborative team player who contributes positively to the development and capability of a small, high-performing investment team.
• Demonstrates ownership and accountability for investment, conduct and client outcomes.
• Proactive, commercially minded and engaged in the ongoing development of the Investment Management proposition.

Qualifications

• Holds a Level 6 RDR-compliant Investment or Wealth Management qualification (Level 7 or equivalent preferred). (e.g. CISI PICAM, Wealth Management Masters or CFA) evidencing a solid technical foundation.

Competencies

• Business & Commercial Focus
• Service Excellence / Client Focus
• Creativity / Entrepreneurial thinking
• Communication & Confidence
• Working Proactively
• Expert Knowledge
• Planning & Reviewing
• Problem Solving & Judgement