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Stock Broker (CF30)


JOB TITLE: Stock Broker (CF30)
DEPARTMENT: Stockbroking
REPORTS TO: Broking Advisor
REMUNERATION: Salary £**
POSITION: Full Time
EFFECTIVE DATE: September

JOB PURPOSE

The position involves advising customers on the purchase of selected investment opportunities and the maintenance of customer portfolios and relationships. The Employee will be required to comply with the rules and regulations of the Financial Service Authority and any other relevant regulatory bodies.

JOB RESPONSIBILITIES / ACCOUNTABILITIES

Advising customers on selected new and existing investments via the telephone. Specialising in FTSE and AiM. Making Agency & Principal recommendations Maintaining regular contact with active and inactive clients Understanding each customer’s investment aims and personal portfolio.

The achievement of performance targets as set by the company. The maintenance of appropriate contact records and notes. Ensuring outstanding customer service Communicating effectively with other staff in the firm A thorough understanding of the Firm’s policies and procedures A thorough understanding of FCA regulation A good knowledge of the market and the products The Employee will be required to read, as often as is reasonably necessary, and to comply with the FCA regulations, companies internal procedures compliance manual and money-laundering procedures at all times.

The Employee will be required to pursue continued professional development in the form of training good A good knowledge of the Firm’s systems and the maintenance of appropriate contact records and notes Compliance Duties Understanding of Account Opening – Due Diligence, AML & KYC Checks; Keeping records and CRM up to date; Adherence to internal policies and procedures; Understanding and adherence to regulation; Upholding the ethics of Treating Customers Fairly Reporting to the Compliance team any suspicious transactions; Ensuring personal CPD.

KNOWLEDGE, EXPERIENCE AND QUALIFICATIONS

A good understanding of the markets A good understanding of SVS and its products Good current knowledge of regulatory and legislative requirements Experience in sales Experience of customer services Continued Fitness and Propriety and proven adherence to the Principles CISI Level 4 Investment Advice Diploma

PERSONAL QUALITIES

Professional manner; Ability to sell and put across ideas; Assertiveness; Good influencing and negotiating skills; Attention to detail; Works well under pressure; Good analytical skills; Good time management; Ability to use own initiative and also as part of a team; Excellent interpersonal skills and communication skills; Excellent client service skills; Innovative and commercially aware.

Responsibility As An Approved Person:

SVS Securities Plc is authorised and regulated by the Financial Conduct Authority (FCA), a member of the London Stock Exchange. An essential requirement for this role is that you gain approval from the FCA for the performance of a controlled function(s). Controlled functions specific to this role are:

Type
CF
Description of Controlled Function
Customer Function
30
The customer function is the function of: (1)  advising on investments and performing other functions related to
this such as dealing and arranging;  (2)  dealing, as
 

 

It is important that you understand the obligations you are under as an approved person working for SVS Securities Plc.

The following principles of the FCA apply to you as an Approved Person:

Statement of Principle 1
An approved person must act with integrity in carrying out his controlled function.

Statement of Principle 2
An approved person must act with due skill, care and diligence in carrying out his controlled function.

Statement of Principle 3
An approved person must observe proper standards of market conduct in carrying out his controlled function.

Statement of Principle 4
An approved person must deal with the FCA and with other regulators in an open and cooperative way and must disclose appropriately any information of which the FCA would reasonably expect notice.

Statement of Principle 5
An approved person performing a significant influence function must take reasonable steps to ensure that the business of the firm for which he is responsible in his controlled function is organised so that it can be controlled effectively.

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