Broker - ADCB Securities

Broker (UAE Nationals only)

Embark on a journey where your unique contributions are celebrated, and your professional growth is embraced. At ADCB, we nurture a diverse, inclusive community where every voice is valued.

About the business area

Private Banking provides high-net-worth clients with an end-to-end banking service to help manage their full banking and investment needs effectively. Our dedicated bankers provide a wide variety of solutions to meet clients’ investment and borrowing requirements, including complex and bespoke loan structuring. Wealth preservation requirements are addressed through a comprehensive wealth planning solution, tailored to individual needs.

In this role, your key responsibilities include:

• Securities Trade Execution - Execute client buy and sell orders on the Abu Dhabi Securities Exchange and Dubai Financial Market following completion of required client verification and order validation, ensuring transactions are processed accurately, promptly and within authorised parameters
• Monitor order status, communicate execution outcomes and address exceptions through the appropriate escalation channels to support compliant dealing, minimise operational risk and deliver the required client experience
• Brokerage Relationship Acquisition and Onboarding - Establish new brokerage relationships by engaging prospective clients, assessing their brokerage requirements and coordinating the collection and completion of account-opening documentation
• Liaise with Customer Service, Operations and other relevant stakeholders to facilitate due diligence, approvals and account activation within agreed turnaround times, supporting sustainable client acquisition while ensuring adherence to applicable onboarding, Know Your Customer and regulatory requirements
• Margin Trading Portfolio Growth - Acquire and onboard eligible margin trading clients and promote approved margin trading solutions in line with defined risk appetite, credit parameters and regulatory requirements
• Coordinate application assessment, documentation and activation with the relevant stakeholders, monitor client requirements and support the responsible utilisation of approved facilities to contribute to growth in the margin trading outstanding balance and associated brokerage revenue
• Client Portfolio Development and Revenue Contribution - Develop assigned brokerage relationships by understanding client needs, maintaining regular engagement and identifying suitable opportunities across approved securities and brokerage solutions
• Encourage trading activity and deepen client relationships through informed and responsive servicing, contributing to agreed revenue objectives while balancing commercial outcomes with client suitability, conduct expectations and the Bank’s risk and compliance requirements
• Internal Referral and Cross-Selling - Collaborate with relationship managers and other relevant teams across the Bank to identify prospective brokerage clients and promote approved securities products and services
• Provide product information, support client introductions and coordinate onboarding and trading requirements to convert qualified referrals into active relationships, expand brokerage penetration across eligible client segments and strengthen collaboration between ADCB Securities and the wider Bank
• Client Servicing and Transaction Coordination - Manage client enquiries and coordinate brokerage servicing requirements, including account status updates, share transfers, fund transfers and other transaction-related requests
• Liaise with Operations, Customer Service, stock exchanges and relevant internal teams to facilitate accurate and timely resolution, keep clients informed of progress and escalate exceptions appropriately, supporting service quality, operational control and continued client confidence
• Policies, Processes, Systems and Procedures - Adhere to all relevant organisational and departmental policies, processes, standard operating procedures and instructions so that work is carried out to the required standard and in a consistent manner while delivering the required standard of service to customers and stakeholders
• Self-Management - Manage self in line with the Bank’s people management policies, procedures, processes and practices to ensure adherence and to maximise own contribution to business performance
• Customer Service - Demonstrate Our Promise and apply the ADCB Service Standards to deliver the Bank’s required levels of service in all internal and external customer interactions

The ideal candidate should have the following experience

• At least 4 years of experience in securities brokerage, financial markets or investment services, including client order execution, brokerage relationship management and client onboarding
• Bachelor’s Degree in Finance, Business Administration, Economics or a related discipline
• Securities and Commodities Authority (SCA) – Chartered Institute for Securities and Investment (CISI) licensing regime
• Securities Brokerage and Trade Execution
• Abu Dhabi Securities Exchange and Dubai Financial Market Rules
• Securities Products and Financial Markets
• Margin Trading Products and Credit Parameters
• Brokerage Client Acquisition and Portfolio Development
• Brokerage Account Opening and Client Onboarding
• Know Your Customer and Customer Due Diligence Requirements
• Financial Crime Compliance and Sanctions Controls
• Client Suitability and Conduct Requirements
• Revenue Generation and Cross-Selling
• Relationship and Stakeholder Management
• Client Service and Complaint Handling
• Operational Risk and Transaction Controls
• Trading and Brokerage Systems
• Microsoft Office Applications
• Communication and Negotiation Skills
• Analytical and Problem-Solving Skills
• Attention to Detail

What we offer:

• Comprehensive Benefits Package: This includes market-leading medical insurance, group life and personal accident insurance, paid leave and leave airfare, employee preferential rates on loans and finance facilities, staff discounts and offers, and children education assistance (for certain job levels).
• Flexible and Remote Working Options: We understand the importance of work-life balance and offer flexible working arrangements, subject to eligibility and job requirements.
• Learning and Development Opportunities: We value and facilitate continuous learning and personal development, through a variety of exciting learning opportunities, such as structured instructor-led courses, a comprehensive e-Learning catalog, on-the-job training and professional development programs.

At ADCB, we are dedicated to creating a respectful, caring and disciplined work environment that aligns with your career ambitions.