Broker Back office Supervisor

Taylor James Resourcing; City Of London; On-site; GBP 70,000 - 75,000; Full time

Job summary

A financial services recruitment agency in London is seeking a Client Onboarding KYC Associate. The ideal candidate will take ownership of back-office operations, manage trade reporting, and ensure compliance with regulations. Responsibilities include liaising with broking desks, supervising escalation processes, and overseeing trade submissions. This role offers a salary between £70,000 and £75,000 per annum with a permanent contract.

Qualifications

• Experience of Back office / Futures Trade Reporting.
• Practically minded, experienced professional with ownership of back-office operations in a regulated environment.

Responsibilities

• Liaise with the broking desks on IT, Compliance, Client Onboarding and Client matters.
• Supervise error handling and complaints escalation process.
• Oversee deal ticket submission and trade submission to the Exchanges.

Skills

Experience of Back office / Futures Trade Reporting

Ownership of back-office operations

Practically minded

Job description

Overview

Client Onboarding KYC Associate. 5 days in office,

Senior HR Manager with Financial Services experience

HR Business Partner. to £65,000This well established

Our client is looking for a Talent Development Specialist

We are looking for a Deputy Group Company Secretary

Date: 25 Aug 2023
Sector: FINANCIAL MARKETS
Type: Permanent
Location: London
Salary: £70000 - 75000 per annum
Email: [e-mail]
Ref: db3485

We are looking for a candidate with experience of Back office / Futures Trade Reporting.

This is an exciting opportunity for a practically minded, experienced professional to oversee and have ownership of the back-office operations for our regulated business,

Responsibilities

• Liaise with the broking desks on IT, Compliance, Client Onboarding and Client matters.
• Understand the broker commission and draft a broker’s commission manual.
• Ensure the necessary back-office cover is in place across all jurisdictions.
• Implement end of day zero commission, reduced commission and error trade reporting/reconciliation.
• Supervise error handling process and the complaints escalation process.
• Oversee deal ticket submission process and trade submission to the Exchanges – in particular, ensure trades are reported accurately and on time and ensure escalation to exchanges and CPFL Compliance team in prompt time.
• Coordinate back-office team training and ensure exchange rules and back-office policies are up to date and fit for purpose.
• Maintain Exchange Membership and update user registration and de-registration.
• Maintain products on the system and update any new products.
• Submit any document requirement during the year including ICE Annual Questionnaire.
• Ensure compliance with the post Brexit Oslo structure and liaise with compliance team to monitor communications between Futures and Securities to ensure abidance with EU/UK Law.
• Prepare desk reports for the Desk Head meetings and ensure Desk Head Sign-off.
• Implement a policy for ensuring that the daily report for financial promotions is reviewed and signed by appropriate personnel before issuance.
• Update financial promotions policy in line with Compliance directions.
• Liaise with Credit Control to address any issues which block payment and flag clients who are overdue.

Requirements

• Experience of Back office / Futures Trade Reporting.
• Practically minded, experienced professional with ownership of back-office operations in a regulated environment.