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Broking Services provides full investment services in stocks, bonds, currencies, precious metals, commodities and derivatives to retail, corporate customers and financial intermediaries. As a leading full service broker dealer in Hong Kong, our investment services include advisory, execution, risk and portfolio management, custodianship, and margin financing.
Job Summary
The Dealing officer will be responsible for leading and managing the end-to-end retail broking dealing desk operations and execution of trades on the stock exchange trading platform on behalf of our customers. This role involves placing, modifying, and canceling orders on behalf of clients, ensuring all actions are compliant, accurate, and aligned with market integrity.
Core Responsibilities & Duties
Trade Execution
- Execute client orders for cash equity & equity derivative segments on the trading terminal.
- Ensure all orders are placed accurately and promptly, adhering to client instructions.
- Monitor open positions, pending orders, and real-time market movements.
Compliance & Risk
- Adhere strictly to all risk management parameters (e.g., client limits, margin requirements) before placing any order.
- Ensure all orders are placed using the correct Unique Client Code (UCC).
- Maintain the confidentiality of client orders and trading activity.
- Report any unusual trading activity or suspected market abuse to the Compliance Officer.
Client Interaction:
- Communicate with clients to confirm order instructions.
- Provide market information and updates as required.
- Maintain a clear and verifiable audit trail of all client instructions (e.g., recorded phone lines, email).
Qualifications, Certifications & Experience
- Education: Graduate in Commerce / Finance / Economics / Business Administration. CA, CFA
- Certifications: (Mandatory)
- NISM Series-VIII - Equity Derivatives
- NISM Series-VII – Security Operations & Risk Management.
- Experience: Mandatory around 10+ years of experience in a dealing or trading role
Preferred Skills & Competencies
- Strong understanding of market dynamics and trading strategies.
- Maintain a strong customer-centric approach and deliver a consistent, high-quality dealing experience
- Provide regular updates to senior management on desk performance, customer escalations, operational risks, service levels, and key developments.
- Drive continuous improvement in dealing desk processes, controls and customer service standards.
- Ability to make quick, accurate decisions under pressure.
- Coordinate with Operations, Compliance, Risk, Technology and other stakeholders to ensure seamless end-to-end service delivery
- Excellent numerical skills and high attention to detail.
- Strong communication skills.
Note:
As an employee, you are required to perform your duties in a professional capacity exercising independent judgement, discretion and decision-making authority in planning, organising, directing work, supervising and appraising the work of team members, as applicable; and taking accountability for delivery outcomes. You will represent the organization with relevant internal and external stakeholders. You will allocate and prioritize work, provide direction and feedback, manage team capacity and leave in line with policy as applicable.
- Pro-tip : Familiarity with AI-enabled tools is an advantage.
Link to Careers Site: Click HERE
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Issued by HSBC InvestDirect Securities (India) Private Limited