Trading and Sales Senior Associate

11 hours ago

London, UK, United Kingdom Randstad Financial & Professional Full time

Role Summary:
As a Trading and Sales Associate / Senior Associate, you will play a critical role in managing
client relationships, executing trades, and contributing to the firm's revenue growth. You will
ensure compliance with the FCA regulations while providing exceptional service to clients
and supporting the strategic objectives of the firm. Fluent in Turkish is a requirement.

Key Responsibilities:
Client Management:
 Build and maintain strong relationships with institutional and retail clients.
 Conduct sales and marketing activities, including client visits, to acquire and onboard
new clients.
 Prepare and deliver compelling pitches, presentations, and product proposals.
 Execute trades in equities, fixed income, derivatives, and other financial instruments
in alignment with the FCA COBS rules and the firm's sales strategy as communicated
by your department head.
 Provide tailored investment advice to clients requesting advisory services, performing
appropriateness and/or suitability assessments in compliance with the FCA COBS
rules.
 Maintain up-to-date knowledge of relevant markets and products to inform client
interactions and strategies.
 Address client complaints promptly and professionally, adhering to the firm's
complaint handling procedures in coordination with the Compliance Department.
 Monitor market conditions and share actionable insights with advisory clients.
 Provide feedback to upper management on client interactions and market intelligence
to help shape the firm's trading and sales strategies.
 Contribute to the development of new products, services, and applications, and assist
the Compliance Department in assessing their regulatory risks.

 Manage and strengthen financial counterparty relationships to secure favourable
outcomes for the firm's clients.
 Ensure all trading and sales activities are conducted in full compliance with the FCA
regulations and the firm's internal policies.
 Uphold the principles of the FCA's Treating Customers Fairly (TCF) initiative where
applicable Consumer Duty rules, demonstrating its application in day-to-day
activities.
 Identify and report suspicious activities, maintaining the highest standards of ethical
conduct.
 Prepare and review documentation for new client onboarding and periodic refresh
processes.
 Maintain ongoing fitness and propriety, adhering to the FCA conduct rules in daily
activities.
 Complete required training to stay updated on the regulatory framework.


Team Collaboration:
 Collaborate effectively with the Trading and Sales, Compliance, Risk Management,
and Operations teams to ensure seamless execution and alignment of goals.


Certified Functions:
 Retail Investment Adviser
 Client Dealing Function

Qualifications and Skills:
 Bachelor's degree in finance, economics, or a related field.
Proficiency in Turkish.
 Minimum 3 years of experience in sales and trading, preferably within an FCA-
regulated environment for senior associate level.
 In-depth knowledge of financial markets, trading platforms, and regulatory
requirements.
 Strong communication, negotiation, and relationship-building skills.
 Proficiency in trading tools and analytics platforms (e.g., Bloomberg, MS Office).
 CISI Level 4 Diploma in Investment Advice (Securities and Derivatives) or a
commitment to obtaining the qualification.

Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003

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