Executive, Investments

Are you keen to make a difference in a dynamic organisation? Do you have a passion for putting the customer at the centre of everything you do?

We’re a fast-paced, dynamic Group at the cutting edge of building safe and recurring value for all of our stakeholders. Our core areas include: bespoke pension solutions, wrap platform, independent financial advisory, investment consultancy, research and due diligence, and more. We currently have £33bn Assets Under Management and are still growing.

This role is within Embark Services Limited, part of the Embark Group.


What you’ll do


In your role as Executive (FTC, initial period of 6 months), you will be responsible for ensuring that Hornbuckle Mitchell Trustees Limited complies with the FCA’s Client Asset Rules as defined in their Client Assets Sourcebook (CASS) and other requirements in the course of providing pension scheme administration services and meeting its duty of care obligations as a trustee.  The team will control and maintain records for all remaining HMTL products including SIPP both on and off platform and Groups. In addition, you will provide support to the Investments Team and Risk & Compliance in assisting with reporting rules applying to CASS.


Key Accountabilities


  • Ensuring all client records are accurate and correct detailing all assets held and removing those no longer active for both on and off platform clients, including evidence held on file for those assets removed.  This will include raising and stopping fees where appropriate.
  • Ensuring HMTL have two independent records of assets held by Hornbuckle as custodian, including number of shares/units held, class of share/unit and any other pertinent information to comply with CASS reporting requirements.
  • Locating and recording all assets not held physically by Hornbuckle Mitchell Trustees Limited as custodian and ensure that bi-annually the location of the physical assets is confirmed and recorded.  This will also include raising the correct HMTL fee for custodianship.
  • Complying with FCA Capital Adequacy rules by ensuring assets are classified and valued correctly both on and off platform and ensuring any discrepancies are corrected immediately.  This will include regular production of MI and reporting to Risk & Compliance and SMT.
  • Proactively liaising with The Adviser Centre, Rowanmoor and all of the Embark Group ensuring we are unified in our approach to classification of investments and when advised, closing off those investments that have failed or are suspended.
  • Working in an organised and logical manner to ensure all FCA CASS, Cap Ad & HMRC standards are met and maintained.
  • Unlisted share valuation: interpreting and applying the correct valuation to the asset as and when received; ascertaining the trading status of the relevant entity.
  • Illiquid non-traditional asset valuation: recognising relevant asset class and understand the frequency and structure of valuation to be obtained and applied; updating all relevant systems to reflect valuation.
  • Investment knowledge and investment taxation: detailed understanding of all types of investment permitted under HMRC rules and how they apply to our entire SIPP environment including an ability to understand and interpret all types of investment valuation and support the Regulatory Reporting Team with investment tax reclaims and reconciliation.
  • Understand current regulations and the responsibilities this places upon the Embark Group, in particular MIFID II.
  • Understand current fee schedules and the fees applicable to the investments we hold within schemes, also explaining these fees to third parties when queries or challenges arise.


Who you are and the experience we’re looking for


  • Ideally a minimum of two years’ experience in a comparable role with experience of dealing with clients via telephone, letter and email
  • Exceptional accuracy and attention to detail
  • Reasonable knowledge of regulated investments of all kinds, unregulated investments, unlisted shares, in-specie transfers, third party loans and non-standard borrowing
  • Ideally, experience across a range of scheme types (i.e. SIPP, SSAS, DB, DC).
  • A very good awareness and experience of counterparty investment service providers
  • A proven ability to work at pace in an environment of complexity and time based pressure, retaining high levels of accuracy and control throughout
  • Professional qualifications including CF1, FA2 and R02 (CII) or be willing to study towards obtaining the required qualifications


Why join us

Our approach centres on four primary enablers: our expertise, access to leading technology, focus on consumers, and capital.

We believe in transparency and meritocracy; we want to give all of our people the opportunity to be the best they can be, sharing in our future success.


Our family of companies include:


The Adviser Centre – a free-to-air, online fund research and consultancy service, dedicated to helping financial advisers to assess, select and monitor suitable actively-managed funds from the whole of the market.

EBS Pensions Limited – developed over the last 20+ years into a leading SIPP and SSAS provider, with over 15,000 clients and £2.8bn assets under administration.

The Embark Platform – a low-cost retirement-focused platform for financial advisers built on cutting edge and market leading FNZ technology.

Hornbuckle – one of the UK’s leading independent specialist pension providers, Hornbuckle has excelled in self-invested pension provision for more than three decades.

Rowanmoor – the UK’s largest independent SSAS provider and a provider of bespoke SIPPs and Family SIPPs.

Vested – a collaboration between Embark Group and Mazars LLP. Together we bring the very best in employee benefits and workplace savings to small and medium sized employers (those with between 100 and 750 full time employees).

Embark Corporate Services – is the provider of centralised Corporate Support to the Embark Group. Our approach is simple, we provide excellence in service to support the Group in being a world class full-scale retirement solutions provider.


You will receive consideration for employment without regard to race, religion, gender, sexual orientation, national origin, disability or age.



Apply now and join us on our journey.

Or, know someone who would be a perfect fit? Let them know!


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