Investment Analyst Onboarding Checklist

Investment Analyst Onboarding Process

Are you looking for help setting up a staff orientation process so that when your new Investment Analyst starts their role, they can learn about their responsibilities and your company as quickly as possible? Whether you’re keen to use buddy onboarding, want to automate your Finance onboarding experience or just need an onboarding checklist for your new Investment Analyst, you’re in the right place. We’ve put together a sample Investment Analyst onboarding checklist below and have created onboarding templates & resources to help.

Investment Analyst Onboarding Checklist

1. Introduction to the company: The investment analyst should be provided with a comprehensive introduction to the company, including its history, mission, values, and organizational structure. This task is typically performed by the HR department or a designated onboarding specialist.

2. Familiarization with company policies and procedures: The investment analyst should be given a thorough overview of the company’s policies and procedures, including those related to compliance, ethics, information security, and data privacy. This task is usually performed by the HR department or the compliance team.

3. Introduction to the investment team: The investment analyst should be introduced to the members of the investment team, including portfolio managers, research analysts, and other relevant personnel. This task is typically performed by the team leader or a senior member of the investment team.

4. Training on investment research tools and software: The investment analyst should receive training on the various research tools and software used by the company, such as Bloomberg, FactSet, or Morningstar. This task is usually performed by the IT department or a designated trainer.

5. Review of investment process and methodology: The investment analyst should be provided with a detailed review of the company’s investment process and methodology, including how investment decisions are made, the criteria used for evaluating investment opportunities, and the risk management framework. This task is typically performed by the portfolio managers or the investment committee.

6. Introduction to the company’s investment strategies: The investment analyst should be familiarized with the various investment strategies employed by the company, such as value investing, growth investing, or quantitative investing. This task is usually performed by the portfolio managers or the investment committee.

7. Review of investment guidelines and restrictions: The investment analyst should be made aware of the investment guidelines and restrictions that govern the company’s investment activities, such as sector limits, concentration limits, or position sizing limits. This task is typically performed by the compliance team or the legal department.

8. Introduction to the company’s clients and investment products: The investment analyst should be introduced to the company’s clients and the investment products offered by the company, such as mutual funds, hedge funds, or separately managed accounts. This task is typically performed by the sales or client relations team.

9. Shadowing experienced investment analysts: The investment analyst should have the opportunity to shadow experienced investment analysts to gain practical insights into the investment process, research methodologies, and decision-making. This task is typically arranged by the team leader or the HR department.

10. Performance evaluation and feedback: The investment analyst should receive regular performance evaluations and feedback from the team leader or portfolio managers to assess their progress, identify areas for improvement, and set goals for professional development.

11. Ongoing professional development: The investment analyst should be encouraged to participate in relevant training programs, industry conferences, and continuing education opportunities to enhance their knowledge and skills in the field of investment analysis. This task is typically supported by the HR department or the team leader.

12. Networking opportunities: The investment analyst should be provided with networking opportunities within the company and the broader finance industry to build relationships, learn from industry experts, and stay updated on market trends. This task is typically facilitated by the HR department or the team leader.

13. Introduction to compliance and regulatory requirements: The investment analyst should receive training on compliance and regulatory requirements specific to the finance industry, such as anti-money laundering regulations, insider trading policies, or market abuse regulations. This task is typically performed by the compliance team or the legal department.

14. Introduction to risk management practices: The investment analyst should be familiarized with the company’s risk management practices, including the identification, assessment, and mitigation of investment risks. This task is typically performed by the risk management team or the portfolio managers.

15. Introduction to the company’s investment performance reporting: The investment analyst should be trained on the company’s investment performance reporting processes, including the calculation and analysis of investment returns, attribution analysis, and benchmarking. This task is typically performed by the performance reporting team or the portfolio managers.

16. Introduction to the company’s investment committee: The investment analyst should be introduced to the company’s investment committee, which is responsible for reviewing and approving investment decisions. This task is typically performed by the portfolio managers or the team leader.

17. Introduction to the company’s code of conduct and professional ethics: The investment analyst should be provided with a copy of the company’s code of conduct and professional ethics, which outlines the expected behavior and ethical standards for employees. This task is typically performed by the HR department or the compliance team.

18. Introduction to the company’s investment research process: The investment analyst should be familiarized with the company’s investment research process, including how investment ideas are generated, researched, and presented to the investment committee. This task is typically performed by the research team or the portfolio managers.

19. Introduction to the company’s investment committee meetings: The investment analyst should be invited to attend investment committee meetings to observe the decision-making process, understand the rationale behind investment decisions, and contribute to discussions when appropriate. This task is typically arranged by the portfolio managers or the team leader.

20. Introduction to the company’s performance fee structure: The investment analyst should be educated on the company’s performance fee structure, including how it is calculated, the benchmarks used, and the impact on investment returns. This task is typically performed by the finance or accounting department

Setting Up Your Employee Onboarding Process

From reading through the items in the example Investment Analyst checklist above, you’ll now have an idea of how you can apply best practices to getting your new Investment Analyst up to speed and working well in your Finance team. Scroll up to see the link to our onboarding templates & resources or get in touch to discuss getting help setting up your systems and processes in this area.