STOCK BROKERS
Broking Branches: Dealers, Dealing Desk and Client Service
A long-standing client calls the dealing desk at 9:20 with a question about a margin shortfall. The dealer is busy with a larger client, the back office is chasing a payout, and the client is told to call back. He remembers that when a discount app sends him an offer.
We help broking owners and branch heads with the operating side. Who looks after which client, how dealers and the back office split their day, how sub-brokers are managed and what the owner reads each morning. We do not advise on trading, regulation or risk limits. Your compliance officer and the exchanges decide those.
Discuss your priorities ↗COMMON CHALLENGES
The pressures
we often see.
- 01Dealers spend market hours on a few high-value clients, and smaller ones with real potential are served only when someone has time.
- 02Back-office tasks such as payouts, margin calls and contract notes compete with client service for the same people, and neither gets full attention.
- 03Sub-brokers and remisiers bring clients but keep the relationship, so the firm knows little about those clients beyond the account number.
- 04Revenue is tied to market activity, so the owner sees good and bad months but not which clients are going quiet before they leave.
- 05New staff learn the desk by sitting next to someone, which means habits spread without anyone checking whether they are right.
OUR FOCUS AREAS
Where the work
usually starts.
- 01Client tiering by revenue and activity, with a named relationship owner for each tier
- 02The morning checklist for the owner: pending payouts, margin shortfalls, client queries and complaints open
- 03Split of dealer and back-office tasks across the trading day, and where they collide
- 04Sub-broker and remisier performance: clients brought, client activity and queries raised
- 05A list of clients whose activity has dropped for several weeks, and who calls them
- 06Complaint register with dates, owner and closure, reviewed weekly
- 07Training checklist for new dealers and operations staff, written down instead of passed on by mouth
- 08Monthly revenue by segment, and the share from the top clients
START THIS WEEK
Things you can do
before you call anyone.
- Pull the list of clients whose trading activity fell sharply compared with their usual pattern. Divide the list among your dealers and ask each to call a handful this week, just to listen.
- Hypothetical example: 25 active clients have gone quiet for a month. Five calls a day over a week reaches all of them. Two say they felt ignored, which tells you something no report would.
- Write down the five questions clients ask most often at the desk. Agree one answer for each and put it where every dealer can see it.
A PRACTICAL ENGAGEMENT
Start with the priorities
that matter most.
We begin by understanding how your business runs today, find the gaps, and agree the scope in writing. Recommendations are shaped around your team, your resources and your goals.
- A client tiering sheet and relationship ownership list with a call schedule for each tier
- An owner's morning checklist and a weekly review format covering complaints and quiet clients
- A role chart for dealers, operations and branch staff, with market-hour coverage rules
- A sub-broker review sheet and a training checklist for new joiners
Not the right fit when: This is not the right step if you are dealing with an exchange notice, a client dispute or a compliance finding. Your compliance officer or a qualified professional must lead there.
Explore a business audit ↗LET’S MOVE YOUR BUSINESS FORWARD
