INFORMATION PROVIDER

• This role is classified as an Information Provider under MiFID II Regulations, i.e. a person who provides information on behalf of Charles Stanley, about financial instruments, investment services and/or ancillary services to clients.
• As an Information Provider you must be able to demonstrate the appropriate knowledge and competence to carry out this activity, including six months’ experience in the role. Once assessed as competent, Information Providers should have an annual re-assessment of competence.
• Information Providers must also maintain their competence by undertaking Continuing Professional Development (CPD) on an annual basis.

QUALIFICATIONS & EXPERIENCE:

• Educated to GCSE or equivalent level including Maths and English.
• CISI Investment Operations Certificate, preferred.
• Previous experience in a similar role is an advantage.

KNOWLEDGE & SKILLS:

• Good communication skills, both written and verbal.
• Highly organised, and numerate.
• The ability to work under pressure whilst maintaining a high level of attention to detail and accuracy is essential.
• A high degree of initiative is expected in relation to problem solving and identifying and taking on tasks that need to be completed.
• A strong team player. The role involves supporting a number of Investment Managers and having the flexibility to adapt to their particular styles of working is key.
• An enthusiastic, ‘can-do’ attitude, combined with a personable manner and good sense of humour.
• Good IT skills with a knowledge of Excel and Word.

This is a non-regulated position supporting investment managers in their daily business across various administrative and organisational functions. Providing an accurate and efficient service helps maintain strong relationships between investment managers and their clients. The role involves delivering the highest standards of administrative support to the IM team responsible for a range of discretionary and advisory clients.
Information Provider sign-off is required upon completing relevant qualifications.

Key Areas of Responsibility:

• Assist in providing a full range of administrative services for the team and improving efficiency.
• Help with all aspects of opening and maintaining client accounts, including obtaining AML documentation.
• Provide high-standard administrative support in managing portfolios and client records, handling client queries, and liaising with other internal departments as needed.
• Keep client information up to date and assist in producing client suitability reports, which may involve direct communication with clients and intermediaries such as solicitors and accountants.
• Monitor the progress of new investments and follow up on any issues that arise.
• Liaise with the accounts department over cash movements and administer payments, including currency payments.
• Set up, close, and manage client files, ensuring all information is accurate and up to date.
• Welcome clients and visitors to the office courteously, show them to the allocated meeting room, and offer and prepare refreshments.
• Assist investment managers in producing and editing investment reviews.
• Manage occasional special projects, such as collecting Know Your Client (KYC) information.
• Process outgoing/incoming DX and Royal Mail.
• Scan, shred, and photocopy documentation as required.
• Prepare, print, and provide IMs with any documentation required for meetings.
• Prepare documentation for potential new clients.
• Follow onboarding procedures for setting up or upgrading clients, checking documentation, and ensuring all relevant information is attached for IMs to write reviews.
• Ensure valuations are produced and dispatched to clients within regulatory timescales.
• Ensure personal compliance with all regulatory issues and promote a compliance culture throughout the department.
• Assist with probate valuations and sales.
• Subject to qualifications and relevant experience:
• Assist with preparing client reports.
• Provide input in recommendations for switches.
• Implement transactions (buys and sells), as well as CGT calculations and valuation history.
• Execute XO dealing as instructed.
• Respond to corporate actions, including notifying clients.
• Review systems and processes and provide training to new team members.