To maintain SOPs, best executing practices, policy manuals and documentation in relation to dealing functions for review by Head of Dealing and Head of Derivatives.
Prepare periodic market updates and contents for review by Head of Dealing and Derivatives.
To assist Head of Dealing and Derivatives in processes, tasks and evaluation to conduct due diligence for new and existing investment products as well as for new and existing counterparties and assist in setting up and testing trading system and connectivity.
To support and assist the Head of Dealing and Derivatives and Head of Customer Success in managing the day-to-day task and team members.
To assist the Heads in developing strategies and initiatives aimed to source and acquire new clients to open, fund, and actively trade in the product offerings. These includes undertaking daily task to convert registered users into funded trading accounts.
Actively source, prospect and acquire new client through calls, referrals, events and digital channels and promote products and services.
To conduct their roles professionally and adhere to procedures as determined by Compliance and Group standards.
Ensure and facilitate the proper execution of securities, derivatives, and all investment products for clients and or Company's trades (where applicable) in an accurate and timely manner when necessary and which the Executive has been licensed for.
To ensure that daily margin position are accurate and ensure all margin calls are regularized.
Dealers may be required to perform shift-based work in accordance with operational requirements and will be entitled to shift allowance as per company policy.
To collaborate closely with team members to ensure seamless handover and continuity of work across shifts.
Proactively handle more complex clients enquiries (e.g. email/phone) on trading-related matters and more complex tickets/complains/queries which a dealer may lack necessary experience.
Conduct more sophisticated product presentations and demos to targeted group of investors.
Drive a Customer First initiative: communicate excellent customer service standards through timely, appropriate support.
Exceptional handling of trades during system downtime when necessary.
Participate in other projects new products and other initiatives including take up ad hoc tasks as required.
To support any group initiatives and projects.
Any other duties as assigned by the CEO.
Qualifications
At least 5-8 years of experience in relevant dealing experience in equities and/or options in financial institutions and/or brokerage firms.
Bachelor's Degree holder in Business/ Finance or any other related disciplines.
Passed Module 6 & 7 / 14 &16 / 17 &18 of the SCLE will be highly advantageous.
Strong communication skills to be communicate effectively with various stakeholders.
Independent worker and a good team player with the capability to thrive under pressure and a good attitude are important traits.
