Broker (UAE Nationals)

Business Area

Location

• The role is based in Abu Dhabi, United Arab Emirates.
• Flexible and remote working options may be available subject to eligibility and job requirements.

Securities Trade Execution

• Execute client buy and sell orders on the Abu Dhabi Securities Exchange and Dubai Financial Market after required verification and validation.
• Monitor order status, communicate execution outcomes, and escalate exceptions to support compliant dealing and operational control.

Brokerage Acquisition and Growth

• Establish brokerage relationships by engaging prospective clients and coordinating account-opening documentation.
• Acquire and onboard eligible margin-trading clients within defined risk, credit, and regulatory parameters.
• Develop brokerage relationships, identify suitable opportunities, and contribute to revenue objectives.
• Collaborate across the Bank to convert qualified referrals into active brokerage relationships.

Client Servicing and Operations

• Coordinate due diligence, approvals, account activation, and margin-trading documentation with relevant stakeholders.
• Manage enquiries involving account status, share transfers, fund transfers, and other transaction requests.
• Liaise with Operations, Customer Service, stock exchanges, and internal teams to resolve requests accurately and promptly.
• Follow relevant policies, procedures, service standards, and operating instructions.

Experience and Education

• Requires at least four years of experience in securities brokerage, financial markets, or investment services.
• Requires experience in client order execution, brokerage relationship management, and client onboarding.
• Requires a bachelor’s degree in Finance, Business Administration, Economics, or a related discipline.
• Requires knowledge of the SCA-CISI licensing regime.

Technical Knowledge and Skills

• Requires knowledge of securities products, financial markets, exchange rules, margin trading, and credit parameters.
• Requires knowledge of brokerage account opening, KYC, customer due diligence, financial crime compliance, and sanctions controls.
• Requires knowledge of client suitability, conduct requirements, operational risk, transaction controls, and brokerage systems.
• Requires communication, negotiation, analytical, problem-solving, and attention-to-detail skills.

Benefits and Development

• Benefits include medical, life, personal accident, paid leave, leave airfare, preferential finance rates, staff discounts, and certain education assistance.
• Learning and development options include instructor-led courses, e-learning, on-the-job training, and professional development programs.