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about 1 year ago
Michael Page Sales
Basic Salary: £80000 - £150000 per annum + Commission
Location: London
Job type: Permanent
Business sector: B2B
Contact: James McMillan
Category: Sales Manager Jobs

One of the UK's best known Stock Broking firms is looking for a new Broking Floor Manager in London to lead by example and ensure the floor continually hits its targets.

Client Details

Broking Floor Manager - Forex, CFD and Small Cap

The organisation was established in the early 2000's and started out as a traditional Stockbroker advising clients on investment opportunities and helping clients achieve their objectives. Since then it has expanded its business model towards Online Execution-only trading, Forex and CFD trading.


Broking Floor Manager - Forex, CFD and Small Cap


  • Leading and managing the Broking Floor
  • Introducing new products on to the Floor
  • Expanding currant and generating new business

Oversight of:

  • Leading and managing the Broking Floor
  • Sales and assist with marketing
  • Supporting Compliance
  • Monitoring and managing MI


Leading the Broking Floor - Training & Competence

  • To lead by example and to ensure the Floor meets its set KPIs
  • To motivate and engage the Broking Floor
  • Provide training and supervision to all Brokers to ensure understanding of Principal, Agency Business, position management, Broking Floor Procedure and best practice
  • Monitoring sales calls for competence, compliance and best practice
  • Ensuring the maintenance and undertaking of the formalised training structure to sign-off, reporting sign-off to the HR, Training & Competence Manager
  • Sign off KYCs and monitor suitability of advice;
  • Undertaking regular 121 reviews with Brokers, reporting Reviews to the HR, Training & Competence Manager
  • Work with Compliance to monitor brokers calls and ensure adherence to the monitoring policy;
  • Work within the HR, Training and Competence Framework structure and develop training, CPD and monitoring techniques
  • Monitoring lateness and absence on Floor

Sales and Marketing

  • Report to the Board with sales figures;
  • Attend sales meetings and represent the team with regards to sales and performance;
  • Manage team Principal positions to ensure timely placing of stock;
  • Day to day management of Agency & Principal recommendations.
  • Take morning sales meetings as and when requested;
  • Manage and chase the team's debtor's positions to ensure timely payment of debts;
  • Work with Settlements to ensure tickets are completed on time
  • Introduce new products onto dealing floor

Investment Committee Principal

  • Member of the Investment Committee;
  • Responsible in the decision making process of all Principal positions, taking into account capacity of the dealing floor and risk to the Firm;
  • Attend all Investment Committee meetings and contribute to the regular communications between members;
  • Adhere to Terms of Reference of the Investment Committee;
  • Write sales scripts for the Broking Floor, working with Compliance to ensure adherence to sales procedures.

Compliance Duties

  • Understanding of Account Opening - Due Diligence, AML & KYC Checks;
  • Keeping records and CRM up to date;
  • Adherence to internal policies and procedures;
  • Understanding and adherence to regulation;
  • Reporting to the Compliance team any suspicious transactions;
  • Ensuring personal CPD.


Broking Floor Manager - Forex, CFD and Small Cap


  • Extensive knowledge of the Market;
  • A workable client base;
  • Understanding of the Operations & Dealing and operational aspects of the company's products and services;
  • Good current knowledge of regulatory and legislative requirements;
  • Minimum 10 years' experience in sales within financial services; environment e.g. banking, investment/asset management/securities environment;
  • CISI qualified to Level 4;


  • Professional manner;
  • A leader
  • Ability to sell and put across ideas;
  • Assertiveness;
  • Good influencing and negotiating skills;
  • Works well under pressure;
  • Good analytical skills;
  • Excellent interpersonal skills and communication skills;
  • Excellent client service skills;
  • Encourages and promotes a proactive management style;
  • Deals with potential conflicts / issues in an open, honest & timely manner;
  • Innovative and commercially aware.

Job Offer

A basic salary of £80,000 - £150,000 plus excellent commission and company benefits

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