Senior Investment Operations Analyst

Location: Reading [Hybrid working 3 days per week in office]

Reports to: Head of Investment Operations

SMCR Function: Conduct

Ascot Lloyd is one of the UK's leading independent wealth management firms, proudly serving over 22,000 clients with a commitment to excellence. Backed by a prestigious private equity firm, Nordic Capital, we are at the forefront of transforming the wealth management landscape. Our strategy is built on three core tenets: delivering expert financial advice, providing exceptional client service, and harnessing innovative technology to make wealth management easier and more accessible.

What's on offer at Ascot Lloyd?

Skills accelerator: Ascot Lloyd counts as one of the UK's fastest-growing national firms. A chance to work autonomously and strive for excellence in a high growth environment.

Support to Succeed: investment long term in your personal and professional growth through our in-house Learning and Development Portal, tailored training plans, sponsorship of professional memberships, and supported study & leave!

Benefits: a corporate pension, private medical, life assurance, critical illness cover, electric car salary sacrifice and paid time off for celebrations and volunteering, discounted Ascot Lloyd Financial advice for employees, enhanced parental leave -plus fun perks to help you thrive at work and beyond!

Recognition: a package that includes performance bonuses and long-term incentives, giving you flexibility to balance work and life. We celebrate your commitment with length-of-service and values recognition awards. At Ascot Lloyd, we're proud to make a positive impact through our ESG initiatives-whether it's volunteer days, charity partnerships, employee sponsorship funds, or fun team activities like walking challenges.

Join a company where your success and community spirit truly matter. Apply today to Ascot Lloyd!

Your impact on stakeholders and clientele:

• Implementation and processing of trades for discretionary MPS and OEIC investments, including the utilisation of retail platform DFM tools and the daily management of OEIC cash inflows and outflows
• Assist with management of ongoing monitoring and attestation processes for third party appointed fund managers, working closely with ALIM compliance teams to ensure adherence to regulatory and prospectus rules
• Assist with production of promotional investment documentation, factsheets, Quarterly Investment Reviews, client email communications, and performance reporting.
• Provide support and assistance to the Head of Investment Operations with due diligence relating to potential new investment product launches, and onboarding of the ALIM MPS on to additional retail platforms
• As a senior member of the team: ongoing support, mentorship and training of Investment Operation Analyst(s)
• Provide and produce quantitative investment screens, on a monthly basis, working closely with the wider investment team.
• Management of pack production, preparation of data and minute taking for the ALIM Investment and strategic asset allocation Committees with input and presentation of ideas where required
• To assist the wider ALIM investment team with qualitative and quantitative Fund research - preparation of fund manager notes and related quantitative data.
• Provide input into ALIM investment decision making via active participation within bi-weekly / monthly investment team meetings
• Management of administration and record keeping for the ALIM portfolios - portfolio histories and performance information
• Assist investment admin team with preparation of ALIM's weekly MI and AUM data as required
• Assist investment admin/operations analyst with Administration support for the ALIM Private Wealth (PW) service as required

Your impact - Risk Management

• Ensure trades are carried out in a timely and accurate manner and that processes are adhered to, to ensure that portfolios remain within specified regulatory / prospectus rules and follow the specified investment profile
• Ensuring FCA compliance in all aspects of investment department activities
• Responsible for identifying, escalating and mitigating risks
• To contribute to an effective and positive risk management culture at the firm
• To ensure necessary Client information is accurate for both the account take on process and ongoing
• Maintain appropriate level of ongoing CPD and minimum standards met within business area requirements
• To fulfil all level of compliance procedures to the highest standard
• To proactively implement and understand the regulatory environment and any changes communicated by the FCA that is relevant to wealth management
• To ensure all decisions uphold and demonstrate the highest standards of Treating Customer Fairly ("TCF") and the Code of Business Sourcebooks (COBS)

What you'll bring to the position

• Experience - essential to have worked in the wealth management industry with minimum of 2-3 years experience.
• Direct experience of managing MPS portfolios via retail platforms and OEIC investment operations is ideal but not essential.
• Qualification:Investment Management Certificate or equivalent level 4 qualification is preferred but not essential.
• Industry knowledge - In depth knowledge of collective investment products, with a deep understanding of the IFA industry and FCA regulation are vital. Knowledge of regulatory frameworks including UCITS and NURS is also beneficial.
• Technical and technological knowledge - advanced Excel Skills and good knowledge of MS Package required.
• Personal Attributes - leadership skills, team player, organized, diligent, communicative, calm and measured approach

What to expect of the interview process at Ascot Lloyd?

Typically, our interview process consists of maximum 3 interview stages, inclusive of 1 face to face interview. We like to keep things simple here!

A chance to ask any key questions to interviewers and HR points of contact during the interview process to support you to make your next career decision.