Job description

Job Summary

Execute orders (equity, fixed income or otherwise mandated) on behalf of the HNI clients (domestic and foreign) based on their instructions, while adhering to the policies and procedures in place by QNBFS, the exchanges and the regulators.

A. Financial & Share Holders

- Operate within the target departmental Budgets

- Achieve targets through service excellence in trading and articulate information dissemination

- Work closely with Sales in order to scout and acquire new clients, locally, and regionally

- Implements KPI’s and best practices for Associate HNI Trading Brokering

- Promote cost consciousness and efficiency and enhance productivity, to minimise cost, avoid waste, and optimise benefits for the bank.

B. Customer (Internal & External):

- Buy and sell securities on behalf of HNI clients.

- Execute orders from HNI clients/call center executive/front desk via any form of authorized communication channel.

- Document orders and transactions regarding trading activities.

- Maintain solid client relationships by providing factual market intelligence in all the markets where QNBFS is active without providing investment advice.

- Provide pre and post market updates to clients

- Maintain a high standard of professional service to all clients creating a differentiating factor between QNBFS and competitors.

- Perform trades manually on QE system in the event of OMS breakdown (After taking the required approvals)

- Resolve customer queries / complaints.

- Report any trading errors done by to the SVP Trading.

- In case of customer dispute escalation, inform the VP HNI Trading of disputes as the 1st level of escalation.

- To assist customers in all their queries on Bank’s product and seek solution to their requests.

- Maintain activities in accordance with Service Level Agreements (SLAs) with internal departments/units to achieve improvements in turn-around time.

- Build and maintain strong/effective relationships with related departments/units to achieve the Group’s objectives.

- Provide timely/accurate data to external/internal Auditors, Compliance, Financial Control and Risk when required.

C. Internal (Processes, Products, Regulatory):

- Assist the sales department in converting leads of HNI clients by marketing the brokerage and advisory services and capabilities in all active markets and successfully presenting the service offerings of QNBFS and their value proposition

- Ensure adherence to legal, compliance and risk management policies and procedures and regulations

- Ensuring efficient and professional management of orders, execution of transactions and reporting of trades.

- Assist in the development of the trading desk’s policies and procedures.

- Abide by the Policies and Procedures developed for maintaining the Information Security for the QNBFS and shall take on active responsibilities in achieving, managing and maintaining the ISO 27001 standard.

D. Learning & Knowledge:

- Constantly enhance brokerage capabilities to cover local, regional and international markets.

- Keeping abreast with the product knowledge and assist in developing market intelligence.

- Undertaking programs and courses as per the regulatory requirements.

- Undergo online training programs as provided by the Organization.

- Proactively identify areas for professional development of self and undertake development activities.

- Seek out opportunities to remain current with all developments in professional field.

E. Legal, Regulatory, and Risk Framework Responsibilities:

- Comply with all applicable legal, regulatory and internal compliance requirements including, but not limited to, Group Compliance Policies and Procedures (AML & CTF, Sanctions Policy, Data Protection Policy, Fraud Control Policy, Whistle Blowing Policy, Conflict of Interest and Insider Dealing Policy).

- Understand and effectively perform your role under the Three Lines of Defence principle to identify measure, monitor, manage and report risks.

- Ensure systematic good outcomes for clients in accordance with Conduct Risk policy.

- Support the framework of RCSA, KRI, Incident reporting and remediation, as appropriate, in accordance with the Operational Risk Management requirements.

- Maintain appropriate knowledge to ensure full qualification to undertake the role.

- Complete all mandatory training provided by the Bank, attain, and maintain the required levels of competence.

- Attend mandatory (internal and external) seminars as instructed by the Bank.

F. Other:

- Ensure high standards of data protection and confidentiality to safeguard commercially sensitive information.

- Maintaining utmost confidentiality concerning customer and internal bank information obtained during the course of business and provide such information on a need to know basis only to Senior Management of QNB, Audit and Compliance functions, and relevant Regulators.

- Maintain high professional standards to uphold QNB's reputation and to strengthen its market leadership position.

- All other ad hoc duties/activities related to QNB that management might request from time to time.

- University graduate preferably with a Major in Marketing, Banking, Finance, Accounting, Economics, Business Administration or Information Technology (related field of study), Masters preferred.

- CISI- Introduction to Securities and QFMA Rules and Regulations.