Client Associate

Brown Shipley, Manchester, GBR, M3 3HF
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Purpose of the Job

The role holder will work as part of the Front Office function supporting Client Advisers in the delivery of the highest levels of investment management services to clients.

This is a 1st line of defence role.

Key Accountabilities

  • To assist qualified investment advisers with the management of the investments of clients to meet the clients’ investment objectives within the scope of their declared risk profile.
  • Contact clients regularly by telephone, letter/email or in person in order to ensure client’s investment needs are met.
  • To represent the company to clients, potential clients and introducers of clients at the standard necessary to develop the business in accordance with strategic and financial objectives.
  • To maintain the highest standards of compliance in keeping with the company’s obligations to clients, counterparties and the regulator. These standards will be the minimum provided by law but may be extended by company policy.
  • To support the delivery of the annual KYC and Suitability requirements within the team according to company policy and procedure.
  • To manage the production of supporting materials for client meetings and pitches, covering portfolio performance
  • Ensure all operations affecting clients are carried out in accordance with the FCA rules.
  • To reflect company policy in investment and service levels and to maintain all necessary records in the event of any material deviation.To encourage a culture of compliance throughout the company.
  • To develop own professional expertise through on the job training, formal training and, where appropriate professional qualifications.
  • Carry out any other duty as may reasonably be required.

Knowledge and Experience

  • Intermediary level experience within a wealth management or private banking role within financial services industry.
  • Experience with dealing with HNW clients.
  • Experience of supporting a number of advisors, rather than on a 121 basis.
  • Understands Risk within context of the role and meets the regulatory obligations, as applicable.

Attributes and Qualities

  • Good communication and written English skills.
  • Very good telephone manner, comfortable handling client queries directly.
  • Excellent team working skills. Supports and encourages others to generate a positive working culture, sharing information cross-functions.
  • High accuracy and attention to detail.
  • Well organised and efficient.
  • Takes a solution oriented approach and challenges the way we do things: “see it, say it, fix it”.
  • Understands Risk within context of the role and meets the regulatory obligations, as applicable.

Technical Skills

  • Computer literate with good knowledge of Microsoft systems (Outlook, Word, Excel, Powerpoint).
  • Capable of using G2 and, where necessary, Intelligent Office.
  • Act as true first line of defence for clients and Quintet through proactive risk management.
  • Minimum Level 4 CISI Diploma qualified.
  • Potentially on a development plan to become a certified adviser.
  • This is a ‘client facing’ position that is subject to the ‘individual conduct rules’ requirements and the firm’s relevant role specific guidance for ‘information givers’.

Languages Skills


  • English (fluent / advanced)
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