• Profile
Job Description

• To manage & service clients and their portfolios in line with agreed client objectives
• To conduct investment research and analysis
• To contribute to the growth of the Investment Management business

• Investment Advice / Personal Recommendations – To gather client information, understand objectives and provide suitable recommendations restricted to investment management.
• Client Retention / Portfolio Management - Provide an outstanding service to clients in terms of both relationships, understanding client objectives and requirements including risk profile and income levels and portfolio management; ensure that portfolios are managed within FCA/PRA legislation. Deal with client affairs with integrity and efficiency at all times and in a manner that is in-keeping with standards required by HNW individuals. Oversight of portfolio’s dealing and model adherence to ensure adherence to client objectives via team agreed models.
• Investment Research & Analysis. Lead and / or support research and market analysis to recommend and inform changes to clients’ portfolios by covering an asset class, sub-asset class or classes and their corresponding investments which may be collectives, structured products or direct stocks and bonds
• Commercial. Assist in prospecting for new clients, including working with Private Bankers and Wealth Planners to win new mandates. Accordingly an ability to interpret client objectives and requirements including the risk profile and income levels and respond with an appropriate investment solution. Preparation of presentations
• Conduct Risk. To ensure that you understand and adhere to Arbuthnot Latham’s procedures and policies. To comply with all relevant regulatory policies.  This includes completion of any mandatory training requirements. To ensure clients affairs are managed in a compliant manner and that regulatory risks are identified and managed. To comply with the FCA’s Code of Conduct and Treating Customers Fairly regimes.
• Company. To act in a professional manner, keeping errors to a minimum. To represent the firm, and to act in such a manner which does not compromise the firm either financially or professionally. Assist the DIM / SIM in propagating a team ethos of maintaining high standards of client service and upholding the Bank’s Values & Commitments. Successfully represent the Bank externally and internally.
• Projects. Ad hoc projects for the Investment Management team

Person Specification


Knowledge & Experience

• This role falls under the FCA Certification Regime
• Previous client & investment management experience, within HNW private client environment
• FCA approval and authorisation as a CF30 if applicable
• A level 4 RDR compliant investment management / wealth management qualification. (e.g. CISI IMC or CertPFS)
• Current statement of Professional Standing (or ability to gain an SPS)
• Self-starter, business developer and team player

Key Skills

• Conduct of client suitability reviews / provision of personal recommendations
• Able to contribute to and then follow house policy and models. (This role will not appeal to those who do not wish to follow mutually agreed house models.)
• Sound knowledge of modern portfolio theory and the impact of various risks in portfolio construction and monitoring.
• A strong team player able to support the expansion of a small and highly focused investment team within a Private Banking environment

Management Competencies
• Respecting Others
• Team Working
• Developing others
• Influencing others
• Performance Focus
Business Focused Competencies
• Business & Commercial Focus
• Service Excellence / Client Focus
• Creativity / Entrepreneurial thinking
Personal Competencies
• Communication & Confidence
• Working Proactively
• Expert Knowledge
• Planning & Reviewing
• Problem Solving & Judgement

About Us

Arbuthnot Latham is an independent PrivateBank offering comprehensive Banking, Wealth Management and InvestmentManagement services. Serving its customers since 1833, Arbuthnot hassuccessfully navigated many turbulent periods of economic instability and has along track record of profitability. Today it has offices in London, Manchester,Exeter and Dubai where it manages the financial affairs of c.3500 high networth (HNW) individuals. Arbuthnot Latham prides itself on the quality of itsservice and has built its reputation on understanding the needs of its clients.

ALIMis the investment management division of Arbuthnot Latham. It manages approx.£1bn AUM over 1500 portfolios for approx. 900 clients. It manages over 50 differentinvestment models including GBP, EUR and USD mandates. We have an independentopen-architecture ‘best of breed’ approach with no in-house funds or products.Mandates are predominantly discretionary with some execution & custodyonly.