Trade Processing, Fund Settlement and Treasury Transaction Processing
Demonstrate the ability to validate appropriate fund terms and transfers, monitor and review the smooth delivery of securities to buyers, perform settlement, rate verification, reconciliation and post-trade confirmation activities including reporting transactions that have not been cleared or are unusual
Type
Domain
Competency Area
Investment and Financial Management
Levels
Execute fund term orders and transaction processing to monitor payments
Assess client order details
Interpret and verify order instructions between parties
Request clarification of information for relevant parties when necessary
Report trade and transaction discrepancies that have not been cleared or are unauthorised for escalation
Follow up to ensure documents are captured in relevant trading systems
Analyse confirmation and payment details to ensure accuracy
Investigate for financial risks in transactions performed by traders to guard against unauthorised transactions and excessive risk exposures
Perform rate reasonability reviews of portfolios to ensure that all transactions are executed and re-valued at prevailing market rates
Verify financial market transactions
Determine, obtain and verify clients’ purchase and sales orders
Evaluate orders and follow up on completion of trade orders
Evaluate and reconcile trade orders between transaction parties
Analyse appropriate fund availabilities and record transfers
Disseminate the delivery of securities to buyers
Evaluate preparation of brokers’ performance reports and central dealing unit’s performance reports
Evaluate reports of brokers’ and central dealing units’ overall performance
Review transaction financial risk investigations
Verify rate reasonability reviews
Establish frameworks and policies and guard against unauthorised transactions
Formulate frameworks for acceptance of sales orders
Establish policies for timeframe of execution of trade orders
Operationalise reconciliation of trade orders
Review trade order processes for identification of future improvements
Forecast necessary fund availabilities for organisation
Establish processes for counterparties to deliver and make payments based on settlement guidelines
Establish report preparation guidelines and timeline for delivery
Establish performance reporting criteria
Formulate strategies for rate reasonability and financial risk investigation processes
Review and align analyses and investigations performed in accordance with regulatory guidelines