Location: Central London - Piccadily Circus, the role is office based
Salary / Hourly Rate: £40,000 - £50,000 per year (British Pounds)
Benefits: N/A
Role Information
Role Overview: N/A
Responsibilities: Support the Firm’s sales team to serve investors and prospects, especially in interactions involving the OEICs’ transfer agent by providing prompt and informative responses and engaging with the transfer agent as required., Support investors in the Fundsmith OEICs and Smithson Investment Trust by providing a high-quality and responsive service to inbound queries, tailored to each investor and mindful of any vulnerabilities., Provide a prompt, proactive, and personalised service to Fundsmith Premier investors, including outside normal working hours if required, ensuring a low-friction and enjoyable experience., Liaise with the transfer agent and other outsourced providers to address escalated queries and complaints, escalate internally when needed, and produce relevant reports., Support the production of periodic reports and statements, primarily those provided to investors., Help identify and implement process and system improvements with the Firm and transfer agent to enhance service delivery, including leading or supporting projects., Undertake onboarding and reverification of high-risk individual, corporate, and trust investors in line with the Firm’s Financial Crime Framework, maintaining empathy and service quality., Review alerts and reports (e.g., source of wealth, source of funds, transaction monitoring) and determine appropriate actions., Conduct PEP, sanctions, and adverse media screening, including reviewing escalated results from the transfer agent., Respond to referrals from the transfer agent or escalate to the AML Oversight Team as needed., Help identify and implement process and system improvements, including leading or supporting major projects., Maintain investor administrative documents for the UK OEICs and Smithson according to the annual review cycle, ensuring they are clear, user-friendly, and compliant with regulations., Support improvements to these documents and related processes in collaboration with the transfer agent and internal teams, including Digital Operations., Assist with the recording of operational incidents.
Qualifications: Client Relationship Management
Demonstrated ability to provide high-quality, personalized client service across multiple investor types, including high-net-worth individuals., Demonstrated ability to provide high-quality, personalized client service across multiple investor types, including high-net-worth individuals., Financial Crime and Compliance
Experience handling AML reviews, onboarding high-risk clients, and conducting PEP, sanctions, and adverse media screening., Experience handling AML reviews, onboarding high-risk clients, and conducting PEP, sanctions, and adverse media screening., Operational Excellence
Proven track record in identifying and implementing process improvements, including leading operational projects with external partners., Proven track record in identifying and implementing process improvements, including leading operational projects with external partners., Industry Experience
Background in financial services, particularly with investment firms, OEICs, or fund operations., Background in financial services, particularly with investment firms, OEICs, or fund operations., Communication and Collaboration
Strong interpersonal and communication skills, capable of liaising with transfer agents, internal teams, and stakeholders., Strong interpersonal and communication skills, capable of liaising with transfer agents, internal teams, and stakeholders.
Minimum Requirements: Minimum 3 years of experience in a client-facing operations role within financial services, ideally in fund management or investment firms.,Familiarity with onboarding and AML procedures, including experience handling high-risk investor reviews and screening (PEP, sanctions, adverse media).,Comfortable working in an office-based role with some flexibility for out-of-hours support.
Screening Questions: Can you describe your experience working with investors, particularly high-net-worth individuals or complex client types?,Have you managed onboarding or AML processes in your previous roles? Please share specific tools or frameworks you’ve worked with.,Tell us about a time you improved an operational process or worked with third-party providers to enhance service delivery.,How do you handle escalated client issues, especially when external service providers are involved?
Company Information
About Company: N/A
Culture: N/A
Additional Information
Interview Process: 3 round interviews.
Day to day: N/A
Team: Reporting to the Head of Operations
Growth: N/A
Ideal Candidate Profile: Experienced client operations professional with a background in fund services, investor support, and regulatory compliance within financial institutions., Hands-on knowledge of investor servicing processes including onboarding, AML screening, and managing high-touch relationships, especially in investment trusts or OEIC structures., Proven ability to lead and enhance operational workflows, working across internal teams and third-party administrators to ensure high-quality, scalable service delivery., Strong communicator and problem solver who can manage escalations, support strategic process improvements, and represent the firm’s high standards in all investor interactions.
