We are recruiting an Investment Acquisition Coordinator.

Reports to:

Investment Director



Hours of work:

35 hours each week

Purpose of role:

The Investment Acquisition Coordinator is charged with assisting the in-house Investment Team and managing the due diligence into potential acquisition vendor’s investment and product offerings, with due attention paid to investment philosophy and approach, performance, risk controls, team expertise and governance.

The role will contribute to Ascot Lloyd’s overall objectives of business growth through the acquisition of culturally aligned financial advice firms.

Key Responsibilities

  • Willingness to understand the role and interconnectivity of each department within Ascot Lloyd in the acquisition process.
  • Willingness to learn about and keep abreast of Ascot Lloyd’s Investment Oversight & Advice Proposition Committee (IOAPC), central investment process (CIP), governance and procedures.
  • Communicate clear instructions verbally and in writing in relation to desired data outputs in a professional and accurate manner with internal and external stakeholders. Drive follow-up activities in collaboration with all groups associated.
  • Coordinate internal and external resources and material. Understand the flow of information between stakeholders and recognise blockers at early stages in the process.
  • Participate and actively contribute to operational integration discussions. Understand that transition management is the key to success.
  • Prepare weekly and ad-hoc presentations and status reports. Your ability to assimilate information and comment on the technical and cultural fit of a potential acquisition, based on a thorough understanding of the firms CIP or investment offerings will be a key component.
  • Be conscious and aware of the sensitive nature of the information they will be party to, with an understanding of GDPR and a willing to learn regulatory aspects related to acquisition work.
  • Represent Ascot Lloyd’s core values at all times.

SM&CR Responsibilities

As an FCA regulated Company, Ascot Lloyd are required to adhere to the Senior Managers and Certification Regime (SM&CR), to develop a culture where employees take personal responsibility for their own actions.

Individual Conduct Rules

  1. You must act with integrity
  2. You must act with due care, skill and diligence
  3. You must be open and co-operative with the FCA, PRA and other regulators
  4. You must pay due regard to the interests of customers and treat them fairly
  5. You must observe proper standards of market conduct

Experience & Skills Required

  • Required Level 4 Financial Planning, desired Level 4 Investment qualifications
  • Experience and understanding of the independent advice industry.
  • Practical experience of novation process is desirable.
  • Be flexible in approach to challenges.
  • Be highly organised with the ability to manage multiple projects simultaneously, work independently and meet deadlines.
  • Have an analytical and methodical approach to work with particular emphasis to the detail is essential.
  • High level understanding of investment portfolio diversification and risk, specifically how a combination of assets can be combined to meet a specific risk profile via a multi-asset approach
  • High level understanding of investment governance and how approaches can differ across firms, for example typical function / members / structure / frequency of an Investment Committee and how this relates to overall investment decision making. Ability to understand the difference between advisory and discretionary portfolios.
  • Understand the retail platform environment and the relevant reporting functionality available.
  • Competent understanding of data sets, with focus on Excel use and basic data manipulation.
  • Be flexible in your attitude towards changes in team focus and procedure.
  • Excellent interpersonal skills
  • Excellent communication skills, both written and verbal
  • Team work

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