Charles Stanley
Trainee Investment Manager
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Job Purpose:
The Trainee Investment Manager is responsible for providing high-quality discretionary and advisory investment management services to clients, ensuring portfolios are managed in line with individual objectives, risk profiles, and regulatory requirements.
Working as part of the Investment Management Services (IMS) team, the role involves advising on and managing designated client portfolios, delivering an exceptional client experience, and building long-term relationships based on trust, expertise, and professional service.
The successful candidate will maintain a strong understanding of market developments and investment strategies while ensuring adherence to the firm's compliance framework, policies, and regulatory obligations.
Key Responsibilities:
Client Service & Relationship Management
- Deliver a professional and proactive investment management service to existing and prospective clients.
- Build, develop and maintain strong client relationships, identifying opportunities to enhance the client experience and support business growth.
- Respond to client enquiries and communications promptly, professionally and efficiently.
- Produce and issue client valuations, reports and other communications within required regulatory timescales.
- Conduct regular portfolio reviews to ensure investments remain suitable for clients' objectives, risk appetite and changing circumstances.
Investment Management
- Provide investment advice and recommendations across a range of asset classes, including equities, collective investments and other approved investment products.
- Manage designated client portfolios in line with agreed investment mandates and the firm's investment strategy.
- Execute client transactions accurately and efficiently in accordance with client instructions, mandates and regulatory requirements.
- Monitor market conditions, economic trends and investment opportunities to support effective portfolio management and decision-making.
- Maintain a high level of market awareness and continuously develop investment knowledge and expertise.
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Compliance & Risk Management
- Ensure all activities are conducted in accordance with FCA regulations, internal policies and the Investment Management Practice Manual.
- Promote a strong culture of compliance, risk awareness and Treating Customers Fairly (TCF) principles throughout the business.
- Maintain personal competence and regulatory standards in line with the firm's Training & Competence Scheme.
- Ensure all client records, suitability documentation, training and competency records are maintained accurately and kept up to date.
- Support the implementation and ongoing adherence to company policies, procedures and governance standards.
Operational Excellence
- Liaise effectively with operational and back-office teams to ensure the smooth processing of client transactions and timely resolution of queries.
- Maintain accurate and comprehensive client records and portfolio documentation.
- Delegate appropriate administrative responsibilities to support staff and provide guidance and oversight where required.
- Contribute to continuous improvement initiatives designed to enhance efficiency, client service and operational effectiveness.
Qualifications & Experience:
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Essential
- CISI Level 6 qualified or actively working towards completion.
- Experience within investment management, wealth management or financial services.
- Sound understanding of investment products, portfolio management principles and the regulatory environment.
- Working knowledge of FCA regulations and compliance requirements.
Desirable
- Commitment to achieving CISI Level 7 Chartered Wealth Manager status within 36 months of joining.
- Experience managing client investment portfolios and providing investment recommendations.
- Understanding of financial planning and wider wealth management services.
Knowledge, Skills & Competencies:
- Strong understanding of investment management principles, portfolio construction and investment markets.
- Broad market awareness with the ability to interpret economic and market developments.
- Knowledge of FCA Conduct of Business rules, Anti-Money Laundering regulations and Treating Customers Fairly (TCF) requirements.
- Excellent client relationship management and stakeholder engagement skills.
- Strong verbal and written communication skills, with the ability to explain complex information clearly and confidently.
- Highly organised with excellent attention to detail and accuracy.
- Commercially minded with a client-focused approach.
- Strong analytical and problem-solving skills.
- Resilient, professional and able to perform effectively under pressure.
- Ability to influence, challenge constructively and contribute positively within a team environment.
- Committed to continuous professional development and maintaining industry expertise.
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