Job Family Card - Dealing - Broking

As a dealer (principal), engages in the business of buying and selling securities on own behalf. As a broker (agent), responsible for sales in Stock Exchanges and Commodities (Futures and Commodities Exchange) on behalf of clients, where main activities include monitoring the market, brokering trading deals, online secure trading platform, purchase and sale securities on behalf of clients and securities lending. Responsible for broker-to-client communications, business development and relationship management. Executes the sale and purchase orders for investment instruments set by portfolio managers. Negotiates the terms of the transactions and defines the principles of interventions on markets (volume, conditions). Provides portfolio managers with information on trading environment and trading activity.

Job Family Code

CDB

Career Path View

Job Roles

Card Job Role Description

Job Role

Dealer-Broker

Job Family Code

CDB

Job Family

Dealing - Broking

Responsibilities

    Initiate transactions for the client and identify new clients to ensure target sales volumes and profits.

    Gather and analyse information on client financial situation, taking into consideration transaction conditionality when applicable, market conditions and on available financial instruments.

    Place buy and sell orders and keep records of transactions.

    Execute purchases and sales of financial instruments by utilizing trading automated models.

    Identify new buyers and sellers and keep strong clients relations.

Card Job Role Description

Job Role

Senior Dealer-Broker

Job Family Code

CDB

Job Family

Dealing - Broking

Responsibilities

    Monitor transactions of buying and selling to ensure successful transactions.

    Screen potential deals by analysing market strategies, deal requirements, deal financials and evaluate options.

    Contribute to setting sales targets and support dealers-brokers in achieving those targets.

    Supervise and lead a team of dealers-brokers and ensure all activities are in line with the organisation's principles.

    Calculate and keep record of transactions costs.
     

Card Job Role Description

Job Role

Dealing-Broking Manager

Job Family Code

CDB

Job Family

Dealing - Broking

Responsibilities

    Develop and oversee implementation of the organisation brokerage policies and principles including pricing of service.

    Ensure accuracy of transactions and ensure compliance with all relevant regulations and standards.

    Manage brokerage activities and ensure that brokerage operations adhere to the organization's financial and business strategies, and they all are properly licensed and qualified.

    Monitor market share ensuring profit generating initiatives while keeping a limited risk profile.

    Manage trade activities ensuring completion of the trade operations from initiation to settlements for all types of trade.

Card Job Role Description

Job Role

Head of Dealing - Broking

Job Family Code

CDB

Job Family

Dealing - Broking

Responsibilities

    Contribute to the formulation of the overall organization's strategy, in collaboration with others in the executive team, focussing the organization's Dealing - Broking / e-brokerage function.

    Approve and ensure implementation of Dealing - Broking / e-brokerage function policies and procedures and ensure its efficiency.

    Manage Dealing - Broking / e-brokerage function and ensures its compliance to regulatory requirements as well as market Standards.

    Manage and monitor Dealing - Broking / e-brokerage function budget for cost efficiency.

    Manage internal and external relationships and represent the organisation in all business matters related to Dealing - Broking / e-brokerage function.

    Ensure fiduciary responsibility is observed across all securities deals and transactions.
     

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