Broker Back office Supervisor

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

Job summary

A global financial broking firm in London is seeking a Client Onboarding KYC Associate. This permanent position involves overseeing back-office operations and ensuring compliance with regulatory standards. Candidates should have practical experience in back-office functions and the financial markets, making this an exciting opportunity for a proficient professional.

Qualifications

• Experience in Back Office and Futures Trade Reporting is essential.
• Practical knowledge of financial market operations and compliance standards.

Responsibilities

• Overseeing back-office controls ensuring compliance with regulatory requirements.
• Liaising with broking desks on IT and compliance matters.
• Managing trade reporting processes and error handling.

Skills

Compliance

Back Office Operations

Trade Reporting

Job description

Quick Registration: First Name *, Last Name *, e-mail *, Phone *, Sector, Location

Our client is a Global Financial Broking firm in London.

Job Opportunities:

1. Client Onboarding KYC Associate - 5 days a week in London
2. Administration Assistant – Financial Services

Our client is a Financial Market making company in London.

Details of the Position:

• Date: 25 Aug 2023
• Sector: FINANCIAL MARKETS
• Type: Permanent
• Location: London
• Salary: £70,000 - 75,000 per annum
• Email: [e-mail]
• Ref: db3485

We are seeking a candidate with experience in Back Office / Futures Trade Reporting.

This role offers an exciting opportunity for a practically minded, experienced professional to oversee and own the back-office operations of our regulated business.

Responsibilities include:

• Overseeing back-office controls and oversight processes, ensuring compliance with regulatory requirements and firm policies.
• Liaising with broking desks on IT, Compliance, Client Onboarding, and Client matters.
• Understanding broker commissions and drafting a broker’s commission manual.
• Ensuring back-office coverage across all jurisdictions.
• Implementing end-of-day zero commission, reduced commission, and error trade reporting/reconciliation.
• Supervising error handling and escalation processes.
• Overseeing deal ticket submission and trade reporting to exchanges, ensuring accuracy and timeliness.
• Coordinating back-office team training and updating exchange rules and policies.
• Maintaining exchange memberships and updating user registrations.
• Managing product updates and submissions of required documents, including ICE Annual Questionnaire.
• Ensuring compliance with post-Brexit Oslo structure and liaising with the compliance team on EU/UK law adherence.
• Preparing desk reports and ensuring sign-offs.
• Implementing policies for review and sign-off of financial promotions.
• Liaising with Credit Control to address payment issues and overdue clients.