Broking the product in accordance with established market practice and in compliance with all relevant laws and regulations.
Gaining a full understanding and working within internal compliance and other policies and procedures, including specific desk procedures. Maintaining this knowledge as policies and procedures evolve.
Complete all assigned training and policy attestations in a timely manner.
Calculating dealing prices in accordance with the Company’s pricing policy.
Recording all brokerage deals in accordance with the Company’s settlements and Operations requirements.
Raising the profile of the desk.
Maintain fitness and propriety to become and/or continue to be an approved person with the FCA’s approved persons regime, if required.
Attend and contribute in all team meetings as required by the desk head or other manager.
Be alerted to Conduct Risk issues, specifically the risk of harm to client interests, market integrity and/or competition in financial markets due to inappropriate practices or behaviours across the firm.
Liaising with clients, traders and financial institutions in London and the rest of Europe or globally as required.
Securing business through and improving relationships with existing contacts.
Developing relationships with new clients in the financial markets, thus increasing the Company’s client base.
Contribute to brokerage agreement negotiations as required.
Entertaining and making personal contacts with existing and potential customers.
Key outputs and key performance indicators
Generate at least the minimum amount of revenue as set out in the individual employment contract.
Attesting to and demonstrating sound understanding of all regulatory requirements on an ongoing basis.
Actively contribute to the work of the desk, being a team player and ensuring the Company’s needs are at the forefront of all activities undertaken on the desk.
