US Broker

Role : Senior Broker
Location : 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 Accountabilities of the role

These are the main responsibilities of this role

Detailed Responsibilities

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 ADIB and ADIB Securities policies, 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 that the framework is always in compliance with the related rules and regulations including client onboarding documents and clients KYC.

• Keep abreast of regulations of DFM, ADX, and SCA

• Promote new business through customer contacts. Call existing customers and prospective customers to nurture ongoing relationships.

• Assist in the planning and implementation of strategies and goals.

• Monitor market trends, analyze portfolios, and suggest strategic trading actions.

• Represent ADIB at industry events to enhance brand visibility and networking

• Increase the company’s share of each client total trading portfolio as well as efficiently and effectively increase the overall affluent client trading activity.

• Ensure customer satisfaction and ensure all customer grievances are resolved in a timely
manner.

• Ensure that all customer instructions are responded to immediately.

Additional Duties and Responsibilities:

• Identify and manage all significant risks (Financial, Operational, Market, and Reputational Risks). 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.

• Ensure all correspondence with Market Control, customers, and others is properly recorded and filed.

• Manage team members and provide them with necessary guidance and counseling to keep them highly motivated.

• Maintain high ethical standards and contribute towards a healthy work environment.

Supervisory Responsibilities

• Perform all supervisory and management functions in accordance with ADIB and ADIB Securities practices and policies for brokers, including:

• Identify and help satisfy the training requirements of employees in close coordination with the Trading Manager.

• Emphasize and promote professional and ethical conduct.

• Lead and mentor junior brokers, providing guidance and performance feedback.

Authority Given:

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

Reporting Lines

Head of Trading

Supervision lines

Head of Trading

Specialist Skills / Technical Knowledge Required for this role:

• Bachelor’s degree in finance, economics or related field is required

• **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.

• Deep knowledge in UAE/GCC financial markets, including margin trading regulations.

• Strong negotiation skills with a results-driven mindset.

• Excellent communication and presentation skills.

• Track record of negotiating large-scale trades or managing high-net-worth client portfolios

• Fluent in English, Arabic desirable.