Customer services / broker representative

2.1.1 Customer services / broker representative

Description of role

Responsible for supporting core business activities by helping clients identify opportunities based on their needs, resolving issues relating to their account, transactions and any other enquiries that may arise.

Core skills

Knowledge of the basic sales and account servicing and relationship management techniques
Ability to perform periodic review of client accounts, including client due diligence (AML / KYC), identification of suspicious transaction patterns, updating of client records for changes in client circumstances, and evaluating on-going suitability of clients
Ability to identify opportunities for services to meet on-going needs of clients and communicate regularly with clients as part of client servicing and obtaining feedback on service quality

Qualification and/ or certification

QFSQF Level 2
QFMA CISI (mandatory)
- International Introduction to Securities and Investment
- QFMA Rules and Regulation
- International Introduction Award
- Certificate in Global Securities

Relevant experience

Industry knowledge

Knowledge of capital markets products and clients

Regulatory compliance of role

Knowledge of applicable laws, regulations, rules and codes of conduct

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