• 2.3.6 Trade execution


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    Description of role

    Responsible for the execution of trade orders placed by portfolio managers, and acting as the pre-trade broker liaison.     

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    Core skills

    • Ability to assess trade orders execution processes to ensure efficiency and compliance with organisation’s policies and procedures
    • Ability to conduct verification checks on client’s purchase and sale orders obtained from portfolio managers
    • Ability to execute trade orders and follow up on completion
    • Ability to prepare broker’s performance reports
    • Ability to communicate effectively and efficiently in high pressure situations
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    Qualification and/ or certification

    • QFSQF Level 3
    • Professional certification required (e.g. ACI Dealing Certificate, FINRA Series 7 etc.)
    • Relevant experience
        

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    Industry knowledge

    • Knowledge of capital markets products and services

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    Regulatory compliance of role

    • Knowledge of QFMA and other relevant laws and regulations governing asset management activities of regulated financial institutions