Broker Back office Supervisor

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: duncan@taylorjamesresourcing.com
• 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.

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