Qualified Stockbrokers required!
Main Activities Proactively offer clients appropriate advice from our in-house analytical teamProvide clients with a thorough wealth management service e.g. update clients on the current market conditions and news flows, within appropriate accounts (Mixed Book; Execution Only, Advisory and Discretionary accounts)Contribute towards stock ideas and overall market opinion. This starts with the morning meeting and is developed through the working day.Be aware of the firm's investment view, including the composition of current model portfolios and buy/sell lists.Offer clients the appropriate service for their requirements. For example Advisory managed accounts taking into consideration asset allocation etc.Take into consideration client suitability e.g. Client Info Document and RPQ's.Take orders from clients and then execute them as instructed with the market.Attract, develop and retain a portfolio of private client relationships to maximise asset and revenue growth by meeting client's needs.Understand investment, tax, trust, pensions, financial planning and banking service offerings, liaising with product specialists as appropriate, to deliver suitable services to the client .Actively seek new business through own network, intermediaries and other referrals. Generate and follow up on leads.Manage business in a way that is compliant with relevant rules, regulations and in-house policies.Be aware of company valuations, stock situations, topical price sensitive information, stock market conditions and economic trends.Ensure that all operations affecting his/her clients are carried out in accordance with FCA rules, for example, avoiding abuses such as insider trading, churning and front running, establishing that up to date client agreement letters are on file for his/her clients, and ensuring that all clients get contract notes, valuation reports, client packs and other documents on a timely basis (usually every three or six months). If uncertain on FCA rules, consult compliance staff to obtain a ruling.Actively seek new business, working closely with marketing staff, e.g. attending exhibitions, being active in local social/business circles, following up leads, explaining the firms' services to potential new clients and following up all opportunities to win new clients.Keep up to date with CPD. 'Controlled Function' (Yes or No) Yes Personal Profile Knowledge and Skills: Qualified Investment Executive - Minimum Level 4 CISI Exams (Valid SPS) Excellent knowledge of markets and especially UK equities. In touch with current market events and price movements. Strong client focus. Strong personal qualities (likeability, empathy, understanding and maturity) and be an effective communicator, able to relate to and inspire the loyalty of his/her clients. Contact: Louise Huggett