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



Competency Area

Investment and Financial Management


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