Collins Sarri Statham Investments is a small but dynamic advisory and execution only stockbrokers specialising in retail securities and CFDs, seeking advisory brokers.
You will be responsible for building and establishing a profitable client base and helping to develop the firms overall standing in the market
Responsible for advising clients on straight agency recommendations, CFD positions long and short, FX and other products
As part of this process, the individual is expected to ensure that his/her professional development is exceptional and be willing to take further exams/courses to broaden their knowledge to include all of the company’s proposed product lines
Ensure that all operations are carried out in accordance with the firm's own policies and procedures in addition to FSA rules
Ensure outstanding customer service
Communicate effectively with other staff in the company.
Key Regulatory Responsibilities
Understanding of the regulatory responsibilities within your control function and the general principles of approved persons
Skills and Competencies:
• CF30
• A good understanding, knowledge and experience of FSA regulation within the retail broking field
• Proven record of good customer service
• An excellent communicator
• Approachable
• Good market knowledge
Qualifications
• Securities Institute or FSA professional qualifications
• Desirable to have the SI Derivatives Certificate or the Private Client Investment Advice & Management exam
