AVP, Dealing Officer

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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.

Associate Vice President - Dealing Officer, HSBC Invest Direct Securities (India) Pvt. Ltd (HISL) 

Position Details 

Department: Product/Business

Location: Mumbai 

Job Summary 

The Dealing Officer will be responsible for the execution of trades on the stock exchange's 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 or Professional Qualifications like CA and CFA
• Certifications: (Mandatory)
  • NISM Series-VIII - Equity Derivatives
  • NISM Series-VII - Security Operations & Risk Management.
• Certifications (Good to have):
  • NISM-Series-XII - Securities Markets Foundation
• Experience: Mandatory around 7+ years of experience in a dealing or trading role

Preferred Skills & Competencies 

• Strong understanding of market dynamics and trading strategies.
• Ability to make quick, accurate decisions under pressure.
• Excellent numerical skills and high attention to detail.
• Strong communication skills.

Employment Type: Full-time, Permanent 

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Issued by The Hongkong and Shanghai Banking Corporation Limited, India