Broker-Dealer – Equity Derivatives (Client Facing)

  • Base + Percentage ofannual production GBP
  • New York, NY, USA New York NY US
  • Permanent, Full time
  • IUR Capital Ltd
  • 10 Sep 18 2018-09-10

Client-facing role dealing in listed options products for individual & institutional client accounts. Must have prior experience in similar role at investment advisory / asset management firm.



We are a London-based investment advisory firm covering equity, fixed income, commodity and FX markets, with a focus on derivative products for our individual and institutional investors. Founded in 2007, we operate both a US regulated investment firm for US investors in addition to our UK regulated investment advisory business.

We are searching for experienced candidates who have previously worked in derivatives in a client-facing role at a FINRA Broker-Dealer or SEC Registed Investment Advisor firm, and who can manage both existing individual and institutional client portfolios and develop our client account base in the US, Canada and Europe.

Our mission is to build and maintain a positive relationship with investors by listening to the client's needs and anticipating their expectations so all goals are met. The Investment Advisor Representative’s objective is to ensure that every new client has a positive experience from the investment advisory relationship.

Client portfolios consist largely of listed options, therefore it is essential that candidates have extensive experience in a previous role in managing derivative portfolios.

- Reach out to top tiered prospective clients and determine needs and objectives.
- Work closely with existing client base to better understand client needs and objectives.
- Develop the firm's client book with a particular focus on derivatives being used in client portfolios
- Complete a seamless on-boarding process for new client accounts on the external platform
- Assist with account and fund transfers.
- For our discretionary managed accounts, provide the required portfolio management to each client account
- Act as client liaison by communicating with other internal departments such as, Sales, Clearing, Compliance, Funds & Banking
- Build and maintain positive relationship with clients so that a foundation of trust is established
- Candidates must have Series 7 & Series 24 with a prior FINRA Broker-Dealer / Registered Investment Advisor, in addition to having FCA authorisation (CF30/CF30).
- Preference to have CFA