Client Documentation Reviewer

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.

Our tradition of investing and acting responsibly has been with us from the beginning and continues to lead us forward. Our ambition is to be recognised as the UK’s most responsible wealth manager.

We see it as our responsibility to invest for everyone’s tomorrow. That means doing the right thing for our clients and for others too. Keeping the future in mind when we make decisions today. Looking beyond the short term for the most sustainable outcome. This is how we build enduring value for our clients, make a wider contribution to society and create a lasting legacy. Thinking, acting and investing responsibly.

Job Title: Client Document Reviewer/ Suitability Administrator

Department: Investment Risk

Location: Liverpool or Glasgow 

Contract Type: Fixed term until 31st December 2026

The Role

This is a unique opportunity to advance your professional development, gaining a greater understanding of business risk, compliance and customer service while also being part of a friendly and sociable team. 

In this position you will play a key role in supporting our Investment Managers (IMs).  Our Investment Managers meet with new and existing clients to discuss and agree on suitability parameters. These discussions may relate to onboarding, supplementary account openings, or ongoing suitability reviews. Following the meeting, the Client Documentation Review team will produce a YIM/Outcome letter to confirm the agreed parameters and we update the ‘Invest Cloud’ system to reflect this.

Your role will be to interpret meeting notes and produce ‘About You’ Investment Mandates (AYIM) which take account of the clients desired risk level, their income and how they want their account to be managed.  You will be involved in managing essential suitability procedures including reviewing requests for extending suitability deadlines and helping Investment Management teams contact non-responding clients.

You will learn about the different types of accounts and gain confidence in dealing with stakeholders at all levels across the organisation.  

The team enjoy a healthy work-life balance, and you will be well supported in your new role, with formal structured training as well as being buddied up a member of the team.  If you enjoy report writing and are analytic, this is an amazing opportunity for you.   

This is a hybrid working role- based out of either our Liverpool or Glasgow offices with two days each week in the office and Thursday being an anchor day for the team to get together.

Key Responsibilities

• Take ownership of writing the About Your Investment Mandates. You will be required to receive the client documentation to write the AYIM draft for the IM, identify gaps and report them to the IMs.
• Effectively managing multiple workstreams and prioritising different tasks according to the team’s needs.
• Maintain a high standard of checks in central processes such as Temporary Exception and Non-responding Client requests.
• Update all required reporting systems with the appropriate information.
• Support Investment Management teams to implement a strong suitability quality culture, offer help where appropriate and improve AYIM current standards.
• Collaborate with the Suitability Manager to address identified gaps in the process.

About you

We would like for you to have some of the following skills and experience:

• Knowledge of Excel / Office suites.
• High standard writing skills.
• Ability to understand and articulate issues and concepts in simple language.
• Able to manage relationships and collaborate.
• Ability to take responsibility for their own activities.
• Ability to manage deadlines and change priorities quickly.
• Understanding the regulatory environment we are working in ideal, but not essential.

We offer a comprehensive remuneration package, which we review regularly, and benefits include:

• A company pension - 9% non-contributory, 10% if you contribute 5%
• Private medical insurance – Individual on joining, family after 1 year’s service
• Life assurance - 8 x salary
• Income protection – 75 % salary
• Company share scheme
• Flexible holidays – purchase up to 5 additional days
• Green Car Scheme
• Family friendly policies – enhanced family leave for parents & carers
• Study support – study days and funding for courses and qualifications
• Season travel ticket loans
• Volunteering days
• Gym discounts

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.

We’re a Level 1 Disability Confident employer under the UK Government scheme. This means we’ve signed up to a set of commitments around how we recruit, retain and develop people with disabilities. Find out more about the Government Scheme online. If you require adjustments to apply for a role at Rathbones, please contact us via recruit@rathbones.com to let us know what adjustments you may need.