Investment Manager

James Dunlop, Chartered FCSI

Phone: +44-745*-******

Email: ********@*******.***

Professional Summary

Accomplished investment and wealth management professional with over 20 years’ experience advising and managing portfolios for high-net-worth individuals, families, trusts, corporates, and charities. Currently Head of Investment Management at a boutique family office, managing USD 75m AUM directly and USD 120m assets under influence. Previously Head of Advice at an AI-driven FinTech and a consulting Product Specialist at a major UK mutual. Proven expertise in portfolio construction, asset allocation, investment strategy, regulatory compliance, and financial planning. Chartered Wealth Manager with experience in multi-asset portfolios, tax-efficient investment strategies, and private client solutions.

Key Skills & Expertise

Portfolio Management & Investment Strategy

Discretionary & Advisory Investment Services

Asset Allocation, Stock & Fund Selection

ESG & Responsible Investment (CISI & CFI Qualified)

High-touch Client Relationship Management

Regulatory and Compliance Experience

Agile & PRINCE2 Project Management experience

Client Communication & Investment Reporting

Professional Qualifications

Chartered Wealth Manager (CISI)

Chartered Fellow of the Chartered Institute for Securities and Investment (Chartered FCSI)

Private Client Investment and Management Qualification – Level 6 (CISI)

Advanced Diploma in Financial Planning – Level 6 (PFS/CII)

Investment Management Certificate (CFA UK)

Series 65 (FINRA/NASAA - USA)

CISI Professional Assessment in Sustainable and Responsible Investment

CFI ESG Specialisation

Career Experience

Jan 2017 – Present: Head of Investment Management, Equitable Strategy Group Global Ltd.

Lead discretionary portfolio management services for UHNW clients across multiple jurisdictions

Design and manage bespoke investment portfolios using multi-asset strategies

Conduct regular portfolio reviews and produce rationale for trades and investment switches

Work with IMs, advisers, and clients to ensure investments align with client objectives

Deliver quarterly reports and investment proposals with comprehensive performance commentary

Maintain regulatory oversight including initial and ongoing authorisation with BVI FSC

April 2018 – Sept 2019: Consulting Product Specialist, NFU Mutual

Liaised across Investment Management, Compliance, Actuarial and Distribution functions

Supported portfolio managers with investment process implementation and risk controls

Led integration of regulatory and suitability standards across portfolios

Oct 2015 – Dec 2016: Head of Advice, Wealth Wizards Advisers Ltd.

Led a team responsible for automated and AI-driven financial advice solutions

Developed and maintained investment philosophy, model portfolios and suitability frameworks

Regularly liaised with Investment and Compliance Committees

Education

University of Nottingham & University of Texas at Austin

BA (Hons) Law with American Law (2:1 with Distinction in American Law)

King Henry VIII School, Coventry

A-Levels: English Literature (A), History (B), Mathematics (B)

GCSEs: Nine A Grades

Technical Proficiencies

Financial software & research systems (Morningstar, Bloomberg, FE Analytics)

Portfolio management tools and CRM systems

Microsoft Office Suite (Word, Excel, PowerPoint)

Compliance & Regulatory Standards

FCA Conduct of Business Rules

Treating Customers Fairly (TCF)

Money Laundering Regulations

Central Investment Committee and Practice Manual Adherence

Additional Activities

Regular contributor to investment briefings, proposals, and market commentaries

In-Person representation at client meetings, conferences and professional events

Active in developing new business through referrals and professional networks

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