Investment Broker/Registered Representative

The individual should also ensure that ACB investments meet and exceed its local brokerage income targets. The successful candidate will be responsible for developing effective collateral material for ACB Investments – Capital Market and Merchant Banking Services, assisting in the market research and product development process for both the local and regional markets and achieving objectives in accordance with its strategic vision, mission and values (VMVs).

The duties to be performed include, but are not limited to the following:

• To provide brokerage services by selling securities on the RGSM, and other registered OECS and regional securities to both individual and corporate clients
• Identify, develop and close new business opportunities locally and regionally for capital markets business.
• Interview prospective clients and ensure full disclosure of information before accepting trade orders.
• Ensure all trades are consistent with customers’ investment objectives and risk profiles.
• Ensure at all times that funds are received from clients prior to accepting and processing a purchase order.
• Ensure settlement and processing of all trading activities within the stipulated T+1 days in accordance with regulatory requirements.
• Ensure due diligence is executed on all market research and preparation of research reports. Work closely with other key units and subsidiaries to ensure compliance with and address issues relating to AML policies.
• Prepare Trade Blotters for trades to be executed.
• Develop and prepare investment articles, market reviews, newsletters and other literature for publication to both existing (internal and external) and prospective clients.
• Implement strategies and co-ordinate an effective business development approach to increasing the client database in the local, regional and international markets.
• Ensure all advertising and research materials are consistent with the CFA’s and ECSE’s guidelines.
• Prepare and submit periodic reports for all capital market activities.

To perform the job successfully, the individual must meet the following requirements:

• Bachelor's degree in Finance, Management, Accounting or related field from an accredited college or university; or three years related experience and/or training in Brokerage activities and two years’ experience in Sales; or equivalent combination of education and experience.
• Should have passed the Eastern Caribbean Securities Market (ECSM) Certification Course
• Must understand aspects of investment banking, marketing, research, financial planning and customer relationship management.
• Familiarity and knowledge of the Eastern Caribbean Securities Market and other regional and international financial markets; fixed income/equity markets and related economic and technical indicators.
• Ability to work and communicate effectively in a financial environment.
• This position requires three (3) years relevant experience working in a similar environment to be able to master it.
• Ability to interpret an extensive variety of technical instructions in mathematical or diagram form and deal with several abstract and concrete variables.
• Advanced computer skills/knowledge of Microsoft Office Suite
• Maintains confidentiality.

Compensation: An attractive package inclusive of Pension Plan and Medical Insurance.