Objective

The principal objectives of this position are to:

• To fully service Private Clients
• To adhere to and understand all industry compliance issues in respect of Corporations Act and ASX Market Rules
• To achieve established performance criteria
• To ensure debtor control is properly maintained.

   

Status

This position will report directly to the Executive Directors - Head of Private Clients.

Responsibilities

Responsibilities of this role will include, on an ongoing basis:

• Develop, improve and increase the Private Client base
• Ensure that the base of Private Clients is properly serviced
• Develop an awareness of each client's needs, financial situation, investment objectives and level of acceptable financial risk
• Develop an awareness of relevant research information/recommendations to properly service client needs and investment objectives
• Ensure efficient execution of client buy / sell orders
• Ensure that all scrip is in order before each sale transaction
• Ensure client has the financial means to comply with ASX T+3 settlement rules
• Maintain relevant client mailing lists
• Ensure compliance with all relevant Corporations Act, ASX Market Rules and internal office procedures
• Ensure that all trading activities are conducted in line with the company's ethical standards
• Be cognisant of other divisions within the firm and ensure their services are offered to clients
• Work in a team environment, not only within the Private Client Department, but across the firm

Prime Attractions of this Position

The prime attractions of this position include:

• This is an excellent opportunity to work within a dynamic and professional organisation
• The opportunity is provided to work with dedicated professionals who are thoroughly committed to the firm’s objectives

   

Education

All candidates must be PS146 compliant (please refer to http://www.asic.gov.au/ for further details).

It is also envisaged that candidates will posses formal tertiary qualifications in a Commerce, Finance, Business, Engineering or Geology discipline and may have either completed the Securities Institute Graduate Diploma course or have additional finance related tertiary qualifications.

Candidates who do not posses the above qualifications, however have a proven successful sales ability and experience in building a client base may also be considered.

Hours of Work

The core office hours correspond to the trading times of the Australian Stock Exchange ("ASX") for the purposes of commencement and it is expected that the you will be available to service the clients of the Company until at least 5pm Western Standard Time, Monday to Friday.

As a Private Client Adviser, your hours of work are not fixed and may vary at the discretion of the Company.You will be expected to work longer hours as necessary to properly carry out the responsibilities of your position.