Official Specifications
Role Overview & Mandate
Executive Summary
About The Role Purpose The role is a 12-month fixed term contract...
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About The Role
Purpose
The role is a 12-month fixed term contract within the 7IM Operations Department, reporting to the Team Leader of Client Static Data and Documentation.
The purpose of the role is to ensure that accurate client, portfolio and account static data is maintained. To ensure that all client account opening documentation is in place prior to set up and client account opening is achieved within service level.
To ensure static data across internal and external systems are reconciled. To manage key relationships with internal clients and third parties; these include front office and Pershing.
Responsibilities:
Static Data
- Check all client account opening documentation before final submission to ensure it complies with 7IM guidelines
- Ensure compliance with industry regulation – specifically MiFID II and AEOI legislation
- Set up and maintain client, portfolio and account data in 7IM and Pershing systems in an accurate and timely manner
- Liaise closely with front office and Transitions teams to ensure an efficient opening process
- AML checks for new and existing clients – including KYC and bank account checks
- Maintenance of fee schedule and commission payment data
- Update daily MI
Other
- Provide clear and accurate reports to Line Manager relating to data capture progress and missing information
- Reconciliation of client data
- Deal with daily queries efficiently and effectively
- Build good and lasting relationships with clients (internal and external) and understand their motivations
- Act promptly and professionally to resolve client (internal and external) and colleague enquiries or concerns
- Adhere to 7IM procedures and policies
- Treat clients (internal and external) and colleagues fairly and adhere to the 7IM mission and tenets
- Other responsibilities as reasonably required by line manager
About You
Skills:
- Excellent accuracy and attention to detail
- Organisation of workload to meet deadlines
- Good communication skills, both oral and written
- Ability to work under pressure and to tight deadlines
- Able to take ownership of tasks and see them through to completion as well as use own initiative to come up with solutions
Knowledge:
- Experience within a wealth management or asset management environment is desirable
- Strong knowledge of client account records, including AML client ID guidelines
- Understanding and knowledge of MiFID II requirements and internal 7IM policies.
Qualifications:
- Candidate must hold 5 GCSE’s or above including C grade in Maths & English
- Investment Operations Certificate (IOC) would be beneficial
Other relevant information:
- The role is within the 7IM Operations Department, reporting to the Client Administration Team Leader.
- This role works closely with others within the team, sharing the workload and responsibility, so a ‘team’ attitude is needed – helping others when required
- Flexible attitude to duties needed as training will be given in all aspects of the operations roles and the successful candidate will probably have to provide holiday cover
- Flexible attitude to working hours needed – sometimes the workload will demand additional commitment outside the contractual hours
About Us
The ‘7’ in 7IM refers to the seven original founders of the business. Back in 2002, they couldn’t find a firm they trusted to manage their families’ money properly – big banks seemed impersonal and greedy, while most boutiques lacked the necessary investment process and structure. They started the kind of organisation they’d like to invest with themselves.
Their aim was to deliver steady returns over the long term, while keeping an eye on risk, using the best technology. They wanted everyone to have access to the kind of service and expertise that institutional investors would expect.
We’ve evolved since then. In 2015 Caledonia Investments joined us as a major shareholder. In 2018 we acquired Tcam Asset Management, a firm we felt closely aligned with our investment philosophies and multi-asset approach. In 2020 we continued our long-term growth strategy and acquired the award winning London based financial planning firm Partners Wealth Management (PWM). PWM will continue to operate as an independent company, retaining its brand, identity and leadership.
Our team, our clients and our funds under management have grown steadily over the years. From our offices in London, Edinburgh and Jersey, more than 400 talented people manage over £19 billion for a range of clients, including individuals and families, financial advisers, corporates, charities and trustees.
We still follow our founders’ plan and aim to get the simple things right all wrapped up with real, honest, human service – that’s what sets us apart from everyone else.
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