Emerging Markets Broker
Role
Your role is:
- To deal or arrange transactions with or for your clients in accordance with the relevant custom or practice.
- Maintain an up to date knowledge of the products and markets in which you may arrange or deal.
- Where appropriate, to provide suitable advice to your clients as per the FCA Suitability requirements.
- To undertake any other duties as directed by senior management.
Responsibilities
Your responsibilities include:
- Undertaking your role to the best of your abilities and in a professional manner.
- Acting with integrity, due skill, care and diligence in the discharge of your responsibilities.
- Observing proper standards of market conduct in the discharge of your duties.
- Maintaining an up to date knowledge of the products and markets in which you may arrange or deal;
- Maintaining the confidentiality of any information regarding the group’s business, including the trading activities of clients;
- Observing your obligations under the relevant money laundering legislation and regulations e.g. reporting of any suspicions of money laundering;
- Complying with all applicable and compliance rules and regulations.
- Keeping secret any relevant logons or passwords for accessing systems
- Informing the Desk Head, CEO or Compliance Officer of any potential compliance issues you become aware of or have a concern about
- Informing the Compliance Officer of any change in your circumstances that may affect the answers you gave to the Fitness and Propriety Questionnaire.
Languages: English Essential, Desirable Spanish/French
Currently hold Series 7
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