US Broker

Role Overview

US Broker at ADIB, located in Dubai.

Role Purpose

Execute trading instructions for ADIB Securities clients ethically and efficiently while driving sales growth through proactive customer engagement. Foster long-term relationships with high-net-worth clients, ensuring compliance with established policies, regulations, and strategies.

Key Responsibilities

Trading Execution & Market Operations

• Execute client orders on the ADX and DFM exchanges in compliance with regulatory requirements.
• Monitor market trends, analyze portfolios, and suggest strategic trading actions.
• Monitor customer accounts, ensuring the settlement of deals as per market control norms.
• Actively follow up on overdue settlement trades and take action within the rules of market control.

Sales & Client Development

• Proactively identify and pursue new sales opportunities via cold calling, networking, and digital channels including LinkedIn and social media.
• Conduct client meetings to understand their financial goals, risk appetite, and concerns.
• Promote new business through customer contacts and call existing customers and prospective customers to nurture ongoing relationships.
• Increase the company's share of each client total trading portfolio and efficiently and effectively increase overall affluent client trading activity.
• Represent ADIB at industry events to enhance brand visibility and networking.

Compliance & Governance

• Enforce ADIB and ADIB Securities policies, particularly in client onboarding, AML/CTF, and trade settlement.
• Ensure that the framework is always in compliance with related rules and regulations including client onboarding documents and client KYC.
• Keep abreast of regulations of DFM, ADX, and SCA.
• Stay updated on all market and regulatory rules, commission structures, and competitor activities to provide informed recommendations.

Risk Management

• Identify and manage all significant risks including Financial, Operational, Market, and Reputational Risks.
• Ensure all correspondence with Market Control, customers, and others is properly recorded and filed.

Customer Service

• Ensure customer satisfaction and ensure all customer grievances are resolved in a timely manner.
• Ensure that all customer instructions are responded to immediately.

Team Leadership & Development

• Lead and mentor junior brokers, providing guidance and performance feedback.
• Manage team members and provide them with necessary guidance and counseling to keep them highly motivated.
• Identify and help satisfy the training requirements of employees in close coordination with the Trading Manager.
• Emphasize and promote professional and ethical conduct.

Strategy & Planning

• Assist in the planning and implementation of strategies and goals.
• Maintain high ethical standards and contribute towards a healthy work environment.

Qualifications & Experience

• Bachelor's degree in finance, economics, or related field.
• SCA-licensed broker (mandatory).
• 5–8 years of proven experience in equity trading, portfolio management, and client-facing roles.
• Track record of negotiating large-scale trades or managing high-net-worth client portfolios.

Skills & Competencies

• Advanced proficiency in MS Office (Excel, PowerPoint), Bloomberg Terminal, Reuters Eikon, and investment databases.
• Deep knowledge in UAE/GCC financial markets, including margin trading regulations.
• Strong negotiation skills with a results-driven mindset.
• Excellent communication and presentation skills.
• Fluent in English; Arabic desirable.

Additional Information

• Initially, incumbent will not be given expense power; approval powers will be given based on level of management experience and brokerage expertise.