Investment Associate

Summary/Job PurposeThis role is responsible for the provision of investment management support to Investment Managers and the wider team to help to deliver good client outcomes. Work efficiently and effectively adhering to the Company’s processes within the compliance framework. At all times ensure full compliance with the regulatory and organisational procedures, act honestly, fairly, and professionally in accordance with the best interests of the Company’s clients. Role responsibilitiesShadow the Investment Manager to support the development and maintenance of client relationships, providing excellent client service, following business standards, adapting your approach for clients in vulnerable circumstancesAssist the Investment Manager by drafting client communications and meeting notesPrepare client portfolio information and performance data to support client meetings and presentationsEnsure that client valuations and tax packs are accurate and complete and issued to the client, in accordance with business standard and regulatory requirementAssist the Investment Manager through administrative support with the ongoing monitoring of client portfolios in line with company procedures and models. Support the Investment Manager with their ongoing review of tolerance reports, highlighting to the Investment Manager any portfolios out of line for them to take any Investment decisions, support the Investment Manager in completing the required actionsSupport the Investment Manager with information to enable them to conduct their suitability reviews, in line with business standards, to enable them to deliver a good client outcomeFollowing Certification, undertake research, under the direction of the Investment Manager and in line with the firm standards and processesSupport the Investment Manager to ensure client records and files are kept up to date with telephone, face to face and email discussions with the clientSupport the Investment Manager in ensuring that client queries/complaints are resolved in a timely manner, escalating to the Compliance team where requiredAssist the Investment Manager in ensuring that all relevant client information is obtained for CDD and KYC purposes to enable swift account opening and stock transfers. Assist with account opening process and day to day portfolio administration, as requiredFollowing any Compliance monitoring and advice checks, support the Investment Manager, under their direction, to complete any remedial action within the prescribed timescales ensuring good client outcomesPlace trades in Avaloq based on received instructions from Investment Managers, ensuring they are executed and booked correctlyTake orders from clients in the Execution Only Service on non-complex instruments and place these in Avaloq based on received instructions from the client, ensuring they are executed and booked correctly, in accordance with documented proceduresHelp the Investment Manager to build, maintain and continue to grow strong client and intermediary relationships with professional conduct and integrity. Liaise with Canaccord Wealth Financial Planners/intermediaries/product providers/IFAs at the direction of the Investment Manager about clients' investments and taxation issuesProvide support to the Investment Manager to help them maintain and grow internal and external relationships to assist in business growth. Manage and update the new business pipeline report, updating systems and reports as required for the Investment ManagerUnder the direction of the Investment Manager prepare pitch documents for prospective clients and other presentations that the Investment Manager may makeIdentify opportunities to make introductions to other services within the company or wider Group under the direction of the Investment ManagerSupport the Investment Manager in achieving the team’s target through the efficient servicing of existing and new clientsCarry out any other relevant duties within the remit of the role and as reasonably directed by management.

Created: 2025-07-26