Investment Strategist Onboarding Checklist

Investment Strategist Onboarding Process

Are you looking for help setting up a staff orientation process so that when your new Investment Strategist 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 Strategist, you’re in the right place. We’ve put together a sample Investment Strategist onboarding checklist below and have created onboarding templates & resources to help.

Investment Strategist Onboarding Checklist

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

2. Familiarization with company policies and procedures: The investment strategist 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 compliance department or the HR department.

3. Introduction to the investment team: The investment strategist should be introduced to the members of the investment team, including portfolio managers, analysts, traders, and support staff. This task is typically performed by the team leader or a designated mentor.

4. Review of investment strategies and philosophies: The investment strategist should receive a detailed review of the company’s investment strategies and philosophies, including the investment process, risk management approach, and performance measurement methodologies. This task is usually performed by senior investment professionals or the chief investment officer.

5. Training on investment tools and software: The investment strategist should be trained on the various investment tools and software used by the company, such as portfolio management systems, research databases, and trading platforms. This task is typically performed by the IT department or a designated trainer.

6. Introduction to clients and their investment objectives: The investment strategist should be introduced to the company’s clients and provided with an understanding of their investment objectives, risk tolerance, and preferences. This task is usually performed by the relationship management team or the client services department.

7. Review of investment products and services: The investment strategist should receive a comprehensive review of the company’s investment products and services, including mutual funds, separate accounts, alternative investments, and customized solutions. This task is typically performed by the product management team or the marketing department.

8. Compliance and regulatory training: The investment strategist should undergo training on compliance and regulatory requirements specific to the finance industry, including anti-money laundering (AML) regulations, know-your-customer (KYC) procedures, and insider trading policies. This task is typically performed by the compliance department or a designated compliance officer.

9. Introduction to research and market analysis: The investment strategist should be introduced to the company’s research and market analysis capabilities, including access to research reports, economic data, and market intelligence. This task is typically performed by the research department or the chief economist.

10. Shadowing experienced investment professionals: The investment strategist should have the opportunity to shadow experienced investment professionals to gain practical insights into the investment process, decision-making, and client interactions. This task is typically arranged by the team leader or a designated mentor.

11. Performance measurement and reporting: The investment strategist should receive training on performance measurement methodologies and reporting requirements, including the calculation of investment returns, attribution analysis, and client reporting. This task is typically performed by the performance measurement team or the operations department.

12. Introduction to risk management practices: The investment strategist should be introduced to the company’s risk management practices, including risk assessment, risk monitoring, and risk mitigation strategies. This task is typically performed by the risk management team or the chief risk officer.

13. Collaboration with other departments: The investment strategist should be encouraged to collaborate with other departments within the company, such as marketing, operations, legal, and finance, to gain a holistic understanding of the business and foster cross-functional relationships. This task is typically facilitated by the team leader or the HR department.

14. Ongoing professional development: The investment strategist should be provided with opportunities for ongoing professional development, such as attending industry conferences, participating in training programs, and pursuing relevant certifications. This task is typically coordinated by the HR department or the learning and development team.

15. Performance evaluation and goal setting: The investment strategist should undergo regular performance evaluations and goal-setting sessions to assess their progress, identify areas for improvement, and align their objectives with the company’s strategic goals. This task is typically performed by the team leader or the HR department

Setting Up Your Employee Onboarding Process

From reading through the items in the example Investment Strategist checklist above, you’ll now have an idea of how you can apply best practices to getting your new Investment Strategist 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.