Client Documentation Reviewer Team Manager
Job ID: 1469
Department: Investment Risk
Location: Liverpool, GB, L3 1NW
Rathbones provides individual investment and wealth management services for private clients, charities, trustees, and professional partners. We have been trusted for generations to manage and preserve our clients’ wealth.
Job Title: Client Document Reviewer Team Manager
Contract Type: Permanent
The Role
The Team Manager is responsible for ensuring effective performance and oversight of the Client Documentation Reviewer’s Team’s processes related to providing a successful central suitability service to Investment Management teams across Rathbones.
The ideal candidate will have experience in a similar role within Investment Management.
Outcomes of the Role
* Provide supervisory oversight of the CDR Team.
* Ensure timely completion of AYIM’s by the team ensuring a strict SLA is achieved.
* Maintain a robust system for queuing requests with full transparency with Investment Management Teams.
* Ensure the team maintains an appropriate level of written quality.
* Collect and report MI which includes the close monitoring of suitability quantity, quality, and SLA breaches within the team. This MI will be incorporated into the Investment Risk reporting and should provide a transparent view of the team’s findings.
* Provide effective monitoring, maintenance, and replay of data, including suitability updates provided by Investment Management teams across RIM and RIMI.
* Maintain appropriate internal processes relating to non-standard client scenarios, including, but not limited to, postponements in suitability and clients who refuse to co-operate with the suitability process.
* Implement a continuous improvement culture and provide appropriate and regular feedback to the team.
* Work with and maintain good relationships with stakeholders from across Rathbones to implement a robust and rigorous suitability culture, e.g., Quality Control, L&D consultants, Investment Risk, MD Office, Compliance, Chief of Staff, Head of Investment Process and Risk, Head of Client Service and Proposition, and Head of Front Office Delivery.
* Oversee team mailboxes to ensure requests are handled/escalated in a timely manner.
* Act as a suitability SME to answer complex queries.
* Oversee training to ensure the modules are fit for purpose and delivered appropriately. Be able to deliver training to all staff within front office.
* Participate in and execute projects and change initiatives relating to suitability.
* Be proactive in relationships with Investment Management teams to ensure the service being provided by the CDR team meets realistic expectations, and vice versa.
* Maintain a reliable data architecture to manage and store data from the team's workstreams accordingly.
Knowledge, Skills and Experience
* High knowledge of suitability, the regulatory environment we are working in, and regulatory issues.
* Ability to understand and articulate complex issues in simple language.
* Able to communicate effectively and quickly establish credibility with employees at all levels of the organisation.
* Self-starter with good organisational skills.
* Team player with a high level of interpersonal and communication skills (co-operative, perceptive, diplomatic, and a good listener).
* Ability to think in both a tactical and strategic manner.
* Good organisation skills with the ability to prioritise own time and cope with a very flexible workload.
* Experience in Discretionary Investment Management.
* CISI Investment Advice Diploma (Level 4), any equivalent qualification (e.g., Investment Management Qualification) or commitment to complete the qualification within 12 months.
Life at Rathbones
We aim to become an employer of choice for the wealth management sector, to achieve this we are working hard to build a diverse, equal, and inclusive workplace that motivates, develops and embraces the strengths of all our colleagues. Being part of Rathbones means you will join a team of passionate professionals in a successful culture that cares for its people. At Rathbones, we provide meaningful work, opportunities, and a voice to all.
We are committed to building a team that is made up of diverse skills, experiences, and abilities and encourage applications from all backgrounds. We welcome individuals who share our values – those that are passionate about client service, operate with the highest levels of integrity, and have a strong results focus.
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