Stock Broker – RDR Compliant – 100k OTE – London

Front Office
Circa £100k
Stock Broker RDR Compliant

Stock Broker – RDR Compliant – 100k OTE – London



CF30 Stockbroker


Head of Stockbroking


Full-time: Monday to Friday


£100K+ OTE Depending on Experience + Competitive Bonus Structure

We started as a private client stockbroking firm in 2004. What began as a diversified stockbroker, with a range of companies in sectors such as commodities, energy and property, is now a specialist leading independent brokerage.

We offer a variety of investment products for institutional, corporate and high net worth investors.

This position will join our growing stockbroking team.

Job responsibilities

  • Build and maintain an understanding of the services that we provide, the investment products on offer. Use this to provide investment recommendations to clients

  • Build and maintain a client database. Use your knowledge of the financial and investment markets, drivers of change to sell our services and products to clients

  • Build excellent, sustainable and professional relationships with clients. Understand their investment needs, preferences and use this information to make appropriate suggestions for their investments

  • Regularly update your clients on their portfolio and possible new investment opportunities

  • Keep up to date with and adhere to all compliance requirements and regulations that apply to the position ensuring we do not breach FCA regulations. Be aware of and adhere to company compliance policies related to the role

  • Stay up to date with the latest financial news and market activities to understand the market movements. Keep abreast of economic and political factors that are the drivers of change. Use this knowledge to provide suitable investment recommendations to clients

  • Keep abreast of the latest financial and tax legislation and use this to provide investment recommendations to clients

Key skills required

  • The ability to build and manage own client base and to consistently meet monthly revenue targets

  • Able to work with clients to manage their investment portfolios according to the clients appetite for risk and investment goals

  • Natural sales ability with excellent client relationship and communication skills

  • In depth understanding of the current financial and investment markets

  • Fluent at describing investment products, the risks and benefits of each and matching these to client needs and preferences

  • Organised – can self-manage own workload, ensures the companies CRM is up to date for all clients, provides accurate and up to date client and sales data as and when required

  • The ability to operate in a lively and fast paced working environment

  • Strong numeracy skills with high attention to detail

  • Is honest and has a high business and commercial integrity

  • Possesses the ability to process and retain information quickly

  • Understands the client and business need to adhere to FCA regulations

  • Is RDR level 4 or above RDR qualified and has CF30 registration and is not, has not been under investigation with the FCA

  • Is experienced financial stockbroker with some form of transferable client base

  • Maintains client confidentiality

  • IT competent

  • Ideally has a degree in a relevant area such as economics, accountancy, business, mathematics

If you are interested please apply

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