About the Role
As a US Broker based in Dubai, you will execute trading instructions for clients with a focus on ethical practices and efficiency. Your role will involve driving sales growth through proactive engagement with clients, particularly focusing on high-net-worth individuals. You will build and maintain strong, long-term relationships while ensuring compliance with established policies, regulations, and strategies.
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Primary Duties and Responsibilities
- Execute client orders on the ADX and DFM exchanges in compliance with regulatory requirements.
- Proactively identify and pursue new sales opportunities via cold calling, networking, and digital channels (e.g., LinkedIn, social media).
- Conduct client meetings to understand their financial goals, risk appetite, and concerns.
- Enforce policies and procedures, particularly in client onboarding, AML/CTF, and trade settlement.
- Stay updated on all market and regulatory rules, commission structures, and competitor activities to provide informed recommendations.
- Ensure compliance with client onboarding documents and KYC regulations.
- Keep abreast of regulations of DFM, ADX, and SCA.
- Promote new business through customer contacts, nurturing existing customer relationships and establishing new ones.
- Assist in planning and implementing strategies and goals.
- Monitor market trends, analyze portfolios, and suggest strategic trading actions.
- Represent the company at industry events to enhance brand visibility and networking.
- Increase the company’s share of each client’s total trading portfolio, enhancing overall affluent client trading activity.
- Ensure customer satisfaction by resolving grievances in a timely manner.
- Respond immediately to all customer instructions.
Additional Duties and Responsibilities
- Identify and manage significant risks (Financial, Operational, Market, and Reputational Risks).
- Monitor customer accounts to ensure timely settlement of trades as per market control norms.
- Actively follow up on overdue settlement trades, taking action within the rules of market control.
- Record and file all correspondence with Market Control, customers, and other stakeholders properly.
- Lead, guide, and motivate team members while promoting a healthy work environment.
Supervisory Responsibilities
- Perform all supervisory and management functions according to practices and policies for brokers.
- Identify training requirements of employees in coordination with the Trading Manager.
- Emphasize and promote professional and ethical conduct within the team.
- Lead and mentor junior brokers, providing guidance and performance feedback.
Authority Given
- Initially, the incumbent will not have expense authority but may be granted approval powers based on management experience and brokerage expertise.
Specialist Skills / Technical Knowledge Required
- Bachelor’s degree in finance, economics or a related field.
- Mandatory: SCA-licensed broker.
- 5–8 years of proven experience in equity trading, portfolio management, and client-facing roles.
- Advanced proficiency in MS Office (Excel, PowerPoint), Bloomberg Terminal, Reuters Eikon, and investment databases.
- In-depth knowledge of UAE/GCC financial markets, including margin trading regulations.
- Strong negotiation skills with a results-driven mindset.
- Excellent communication and presentation skills.
- Proven track record in negotiating large-scale trades or managing high-net-worth client portfolios.
- Fluent in English; Arabic is desirable.
