Investment Administrator

at  Close Brothers Group

OVERALL SUMMARY

Join Close Brothers Asset Management where you will provide administration service support to the Bespoke Investment Management team, managing the coordination and administration of all client related queries ensuring best practice is delivered without exception. They will report directly into the two investment directors responsible for the clients, as well as two Investment Managers. They will be the junior of the team working under two Senior Investment Administrators.

REGULATORY RESPONSIBILITIES (COMPLIANCE/T&C)

• Ability to demonstrate an understanding of the regulatory framework relevant to the role, whilst practising effective risk management taking account of outcomes for clients.
• Gather relevant AML documentation from new clients and complete detailed source of wealth, client risk rating and enhance due diligence where applicable in accordance with CBAM Due Diligence Standards and AML QA Procedures
• Complete client due diligence reviews and triggers in accordance with AML QA Procedures
• Ensure adherence to the Client and Third Party Payment procedures
• Comply with the PA dealing policy
• Ensure awareness of and adherence to the Financial Conduct Authority’s (FCA) conduct rules
• Ensure required training is kept up to date and completed within the set timeframe given by CBAM
• Comply with/Ensure adherence to the Gifts and Hospitality Policy and Expenses policy
• Ensure all client conversations are in line with FCA recording requirements
• Comply with office Health and Safety and Fire Safety Procedures