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Investment Sales Officer - Apply now

Salary: £25,000 - £40,000
Location: London
Type: Permanent

A prestigious top tier Investment Management Company who are part of one of the top FTSE UK companies have a great opportunity as an Investment Adviser opening in their London branch. The main focus around the role will be to provide investment advice and/or investment management services to private clients of the business in accordance with their individual circumstances and investment objectives. A CF30 qualified person would be desirable.

Key Duties

  • Attract, develop and retain a portfolio of private client relationships to maximise asset and revenue growth by meeting client’s needs, including managing client assets on a discretionary or advisory basis as well as introducing other products and services according to the overall strategy of the firm.
  • To assess existing and potential clients’ circumstances, investment objectives and attitude to risk, and recommend appropriate company standards and other professional services as relevant to potential and existing clients.
  • To ensure that any investment advice and decisions to trade are suitable for the client, taking into consideration their individual circumstances.
  • To ensure that all client relationships are properly documented and all required information is obtained from the client on a timely basis, ensuring where relevant that “know your client” information is maintained up-to-date and properly documented.
  • To provide investment advice appropriate to the client’s needs, and in compliance with all relevant rules, regulations and in-house policies and procedures.
  • To have a clear understanding of the client’s investment objectives, risk profile, investment experience and financial resource and be clear about the suitability of the recommendations to advisory clients and of the transactions effected for clients under a discretionary mandate.
  • To attend and participate in relevant company meetings as required in the various other aspects of the investment selection process.
  • To provide clients and/or their agents with such information and reports about their investment transactions, income payments and investment performance as requested and/or specified in the terms and conditions of the relevant service.
  • To liaise as required with the Marketing and Business Development functions in initiating and developing new business opportunities.
  • To ensure all operations affecting clients are carried out in accordance with FCA rules, i.e. AML checks, suitability advice, avoiding market abuses such as churning and front running, establishing that up to date client agreement letters are on file for clients.
  • To ensure that the company fulfils its obligations to Treating Customers Fairly.
  • Your investment activities must only be carried out under supervision until you are signed off as an Investment Manager.

Qualifications and Experience

  • Educated to at least equivalent to UK Graduate Level.
  • Professional qualifications as specified by the relevant regulatory authority and the Company’s T&C Scheme.