Junior Investment Associate

Rgh-Global Limited; City of Edinburgh; Hybrid; GBP 25,000 - 32,000; Full time

Job summary

Rgh-Global Limited is seeking a Junior Investment Associate in Edinburgh to support Investment Managers and the portfolio team with client service and data preparation. Hybrid working is available after probation, and the role focuses on compliant, accurate client records and timely trade execution.

You will draft communications, help prepare meetings, and assist with KYC/CDD data, portfolio administration, and monitoring to deliver strong client outcomes.

Qualifications

• Willingness to work towards CISI Level 4 Investment Advice Diploma within an agreed timeframe.
• Must be assessed as Fit & Proper under the Certification Regime.
• Proactive in developing industry and market knowledge; log CPD

Responsibilities

• Support client relationships with excellent service, including vulnerable clients.
• Draft client communications and meeting notes on behalf of the Investment Manager.
• Prepare portfolio information and performance data ahead of client meetings.
• Ensure client valuations and tax packs are accurate and issued on time.
• Place trades on the dealing platform and take non-complex orders as instructed.
• Maintain client records and support resolution of inquiries or complaints
• Follow firm standards for compliance monitoring and reporting
• Assist with account opening, KYC/CDD data, and portfolio administration

Skills

Excellent communication

Attention to detail

Organised

Time management

Team player

Professionalism

Education

CISI Level 4 Investment Advice Diploma (or equivalent)

Tools

Bloomberg

Fidessa

FactSet

Alpha

Job description

Location: Edinburgh (hybrid working available after probation)

Junior Investment Associate - Client Dealing Department

Purpose of the Role

This role provides investment management support to Investment Managers and the wider portfolio team, helping to deliver strong client outcomes. Working efficiently within a compliance-led framework, acting honestly, fairly and professionally in the best interests of clients at all times.

Key Responsibilities

• Work alongside an Investment Manager to support client relationships, delivering excellent service and adapting approach appropriately for clients in vulnerable circumstances
• Draft client communications and meeting notes on behalf of the Investment Manager
• Prepare portfolio information and performance data ahead of client meetings and presentations
• Ensure client valuations and tax packs are accurate, complete, and issued in line with internal standards and regulatory requirements
• Provide administrative support for ongoing monitoring of client portfolios, flagging any portfolios outside tolerance for the Investment Manager's review and assisting with resulting actions
• Support suitability review processes to help the Investment Manager deliver good client outcomes
• Once certified, carry out research under the direction of the Investment Manager, in line with firm standards
• Maintain accurate, up-to-date client records covering telephone, face-to-face and email contact
• Support timely resolution of client queries or complaints, escalating to Compliance as needed
• Gather client information required for CDD/KYC purposes to support account opening and stock transfers; assist with account opening and day-to-day portfolio administration
• Support remedial actions arising from compliance monitoring or advice checks, within agreed timescales
• Place trades on the firm's dealing platform based on instructions received from Investment Managers, ensuring accurate execution and booking
• Take and place non-complex execution-only client orders in line with documented procedures
• Help build and grow client and intermediary relationships with professionalism and integrity; liaise with financial planners, intermediaries, product providers and IFAs as directed
• Maintain and update the new business pipeline report and related systems
• Prepare pitch documents and presentation materials for prospective clients, under the Investment Manager's direction
• Identify opportunities for internal referrals to other services within the wider group
• Support the team in achieving targets through efficient servicing of new and existing clients
• Carry out other duties reasonably requested by management

Additional Responsibilities

• Work towards and maintain Fitness & Propriety standards required for Certification, including passing annual assessments
• Proactively develop industry and market knowledge; complete and log relevant CPD
• Identify and report potential process improvements, contributing to best-practice initiatives
• Undertake ad hoc projects as directed by the Investment Manager or wider front office management
• Support the development of junior colleagues within the investment management team
• Support colleagues with client-facing workload while contributing to the investment process

Person Specification

Qualifications

• Willingness to work towards CISI Level 4 Investment Advice Diploma (or equivalent) within an agreed timeframe – minimum requirement for Certification
• Must be assessed as Fit & Proper under the Certification Regime

Systems & Process Knowledge

• Proficient in Word, Excel and PowerPoint
• Strong understanding of internal procedures and processes (training provided)
• Working knowledge of a core wealth management dealing platform (training provided)
• Exposure to market data/trading systems such as Bloomberg, Fidessa, Alpha or FactSet advantageous

Regulatory Awareness

• Sound understanding of relevant regulatory and compliance requirements, escalating concerns promptly

Core Skills

• Able to work unsupervised
• Strong communicator with good presentation skills
• Highly organised with strong time management; able to work under pressure to deadlines
• High accuracy and attention to detail
• Strong interpersonal, team-working and influencing skills
• Professional, flexible and proactive approach
• Good understanding of appropriate boundaries around client contact