Job Information

My client, an established Investment and Wealth Management operation are looking to recruit an experienced CFD advisory broker, for their Stock broking arm.

Primary Responsibilities for a CFD advisory broker include:
• Develop and run your own book of client assets.
• Maintain strong professional contacts and relationships as well as generating new business.
• Meet individual targets in relation to assets under management and revenue generation.
• Develop and add to your existing client base by calling leads and arranging meetings with private and corporate clients.
• Attend business meetings.
• Confirm and close business.
• Prepare documentation for new accounts and be responsible for the client on-boarding process.
• Ensure all clients are reviewed annually for suitability and records are kept up to date on KYC etc.
• Maximize retention as well as growing and managing your business by maintaining regular contact with clients in order to be aware of their requirements, to advise on business and market developments and to identify new business opportunities.
• To report promptly to the Company’s Money Laundering Reporting Officer any known or suspected money laundering activities by the Company’s clients or prospects (or by the person on whose behalf the client/prospect is acting).
• To act in accordance with the Company’s operating and compliance procedures at all times and to bring any potential or actual breaches to the immediate attention of the Head of Compliance.

Essential Qualities and Requirements for a CFD advisory broker:
• An existing book of business.
• Professional qualifications that meet a minimum Level 4 (e.g. PCIAM, IMC with CFA Level 1) - including the ability to trade derivatives
• RDR Compliant.
• Excellent knowledge of the financial markets.
• Experience as a CFD advisory broker having produced impressive levels of revenue for the past 2 years.
• The ability to generate new business with clients in excess of £250,000 and win new business from existing clients
• Excellent knowledge of the company and its products.
• Excellent communication and interpersonal skills.
• Excellent negotiation skills.
• Excellent business development skills.
• Good organisational skills.
• Team player
• To abide by the FCA’s Code of Market Conduct and Treating Customers Fairly principles in all market dealings.

In return the client is looking to pay a salary to £70K plus bonus and benefits.