- In conjunction and with guidance from line management, lead, motivate and develop team members, developing their potential and maximising productivity to ensure business, team and individual objectives are being met; reviewing these objectives on a regular basis.
- Ensure that all orders are executed (by telephone directly to Market Makers, or by automatic routing to their Retail Service Provider (RSP) systems in a timely fashion, at the best price, in compliance with the clients' needs, the firm's own regulations, the 'Best Execution' requirements of the London Stock Exchange and the FCA, thereby minimising reputational, financial and operational risks.
- Make recommendations for improvement to operational processes, where necessary and appropriate to the Business Development & Client Services Director.
- Take responsibility for various administrative duties, including handling enquiries from the regulators and client complaints relating to dealing issues, delegating where appropriate to team members, including operational reports and procedures, identifying areas for improvement, where appropriate.
- Identify and rectify bottlenecks and any other emerging problems, and generally manage operational risk throughout continual reassessment of any changing circumstances.
- Keep self and team up-to-date with all appropriate stock market developments, and any changes to LSE dealing rules and FCA regulations, ensuring that these are adhered to.
- Maintain an up to date knowledge of market issues and anticipated orders by reading relevant publications and speaking to market makers on a daily basis ensuring a good working relationship is maintained.
- Provide a source of technical advice and assistance in the resolution of dealing disputes with clients and market makers within appropriate timescales and deal with other complaints, ensuring that the appropriate escalation has occurred.
- Promote a culture whereby all relevant controls and procedures are diligently employed and observed, for example, by ensuring that regular sampling of key controls in units are carried out and reported to the Head of Trading.
- Monitor incoming calls handled by the team and resolve workflow problems and conduct regular call reviews.
- Learn and develop key management skills through the appropriate training routes.
- Minimum of 2 years retail stockbroking experience in a Dealing role.
- Able to proficiently use Microsoft Office packages.
- The job holder should be educated to GCSE/A Level or equivalent level and have excellent numerical and written communication skills.
- Successfully achieved, or part achieved the IOC or Securities Certificate and willing to work towards completing the full qualification within an agreed timescale.
- Good working relationships with Market Makers from a previous role
- Previous supervisory experience.
- Confident and articulate - willingness to challenge existing processes and procedures
- Experience of Unit Trusts.
- Meticulous, detail orientated, able to check own work for accuracy, able to inspire and mentor others
- Flexible in approach, able to multi-task
- Customer focused - good telephone manner
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