Specialist Consultant - Retail Investments (LISP)

• Provide a holistic service to Advisors and their assistants by forming part of a central team dealing with all relevant requests, quality checking/screening, queries, rejections, escalations, and reporting
• To check quality control (QC) instructions accurately within agreed upon turnaround times. These instructions include the CDD and RR of all legal entities and individuals
• To be flexible in the working hours as required by this function
• Ensure online submissions meet all business rules (signatures, discretionary broker permissions and security checks)
• Understanding and adherence to business rules and processing rules and working within the required SLA
• Assist other team members when necessary - provide cover during periods of absence
• Investigate, resolve, and take full responsibility for errors made
• This entails telephonic and written communication as well as possible face to face interactions with Advisors and their assistants

• Provide a holistic service to Retail Asset Consultants that manage Model Portfolios on behalf of their clients as well as IFA's with a FAIS Cat II license managing Model Portfolios for their clients
• This includes managing and controlling restructures, rebalances and fund replacements including the relevant communication, monitoring, and reconciling of requests/instructions
• It will also include managing and controlling any bulk requests for Model Portfolio restructures and rebalances by managing the client's expectations and monitoring progress of script processing
• Build and maintain relationships with all clients
• Build and maintain relationships with all service providers - including administration platform as well as foreign exchange and banking services
• Build and maintain relationships with internal clients such as all regional sales teams, domestic compliance team as well as the Guernsey compliance team
• Be responsible for proactive communication, telephonic and/or e-mail keeping clients informed regarding any activity around their queries and requests
• Possible mail merging
• Be responsible for checking and calculating of complex backdates calculations
• Support to Advisor and Client Service Teams when required
• Liaise with Data Management and Reporting Team
• Offer web support

• Run daily, weekly, and monthly reporting that will include but is not restricted to;
• Queue age analysis in line with SLA
• Analysing of Query reporting
• Risk Adjusted Capital (RAC) reporting
• Cat II IFA reporting (Model Portfolio)
• Internal Control reporting including changed bank accounts, floor limits and third-party payments

• Minimum of 5 -7 years' industry experience, particularly in the LISP environment
• Minimum of 3 years' experience in an IMS Advisor Liaison capacity
• 3-year relevant Diploma or BCom degree
• Business Analysis qualification will be advantageous
• Advanced experience in Excel (including pivot tables, macros) and other reporting tools
• In-depth experience and insight to IMS Model Portfolio offering; the associated processes, business rules and legislation
• An in-depth knowledge around IMS Global Select offering including GAPU and GIB products, associated processes, business rules and legislation incl. Guernsey AML requirements

Rory Mackie & Associates