Senior Dealer

Management Level

F

Equiniti is a leading international provider of shareholder, pension, remediation, and credit technology. With over 6000 employees, it supports 37 million people in 120 countries.

EQ is a fintech that connects the future of capital, communications, and governance, building trust and confidence in every market we serve. We are TRUSTED to deliver on our commitments, COMMERCIAL in building long term value, COLLABORATIVE in our approach and we IMPROVE by continually enhancing our skills and services. There has never been a better time to join EQ.

Equiniti is a leading international provider of shareholder, pension, remediation, and credit technology. With over 6000 employees, it supports 37 million people in 120 countries.

EQ is a fintech that connects the future of capital, communications, and governance, building trust and confidence in every market we serve. We are TRUSTED to deliver on our commitments, COMMERCIAL in building long term value, COLLABORATIVE in our approach and we IMPROVE by continually enhancing our skills and services. There has never been a better time to join EQ.

We are looking for an experienced dealer to join the ESFL Dealing team. The Senior Dealing role requires the individual to trade in the market on behalf of underlying clients and other internal stakeholders while delivering a quality service in line with agreed service levels. All orders are placed in the market appropriately, in a timely manner and where appropriate according to specific client instruction and managed in the market adhering to Equiniti's order execution policy and ensuring compliance with all regulatory requirements including but not limited to Best execution and Treating customers fairly.

 

The Senior Dealer will be required to deputise for the Dealing Manager. This will require joining Dealing Governance Meeting, and Best-ex committee, when the Dealing Manager is unavailable.

 

Core Duties/Responsibilities

• Ensure compliance with Equiniti’s policies, processes, procedures and guidelines and all relevant regulatory and statutory requirements.
• Maintain awareness of market and industry developments and how these may create challenges or opportunities for Equiniti.
• Develop and maintain effective working relationships between the Order Management Desk and internal and external stakeholders.
• Participate in the Design, development of improved processes and systems, documentation, training materials, etc., as required to increase the efficiency and effectiveness of the Order Management Desk.
• Maintain awareness of new or existing systems and processes, to identify potential areas for improvement.
• Ensure all dealing queries are dealt with in a timely manner
• Execute and Manage trades in accordance with Best Ex/LSE and Market Convention.
• Manage trade booking and amendments.

 

 Skills, Knowledge & Experience

• Significant experience of working on a UK Sharedealing Desk, covering Private client stockbrokers, Wealth management and Retail trading would be an advantage.
• A strong control focus with a developed understanding of key risks and control associated with Dealing transaction management.
• Excellent verbal, written communication skills/interpersonal skills
• Highly proficient IT skills especially knowledge of Microsoft Excel, Iress, and internal OMS systems
• Experience/knowledge of Market Making and DMA
• Self-starter, self-motivator
• An ability to prioritise and organise both own time and that of a working group
• Ability to think through issues and sees things to resolution
• Ability to lead, interact with and influence all levels of staff, including senior management
• CF30 Registered preferred.
• CISI Level 3 or CISI IOC

  

Training Required

CASS generic e-learning training                                    Annual

COBS generic e-learning training                                    Annual

CISI CPD Full qualification must be achieved within 18 months of starting the role

We are committed to equality of opportunity for all staff and applications from individuals are encouraged regardless of age, disability, sex, gender reassignment, sexual orientation, pregnancy and maternity, race, religion or belief and marriage and civil partnerships.

Please note any offer of employment is subject to satisfactory pre-employment screening checks. These consist of 5 year activity & GAP verification, DBS or Access NI, Credit, Sanctions & CIFAS checks.