• 2.1.2 Trade execution


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    Description of role

    Responsible for the execution of trade orders of capital market products and investments placed by portfolio managers. In addition, evaluation and analysis of data to ensure efficient and effective trade orders, and in-line with laws, regulations and rules of the organisation.     

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    Core skills

    • Ability to identify sources of market data and guidelines and evaluate the accuracy, currency, relevance and reliability of market data
    • Ability to analyse market data correctly to draw meaningful information
    • 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 assess trade orders execution processes to ensure efficiency and compliance with organisation’s policies and procedures

         

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    Qualification and/ or certification

    • QFSQF Level 3
    • Professional certification desirable (e.g. CFA, FINRA Series 7)
    • Relevant experience
        

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    Industry knowledge

    • Knowledge of basic features and characteristics of capital markets products and investment concepts suitable for clients

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    Regulatory compliance of role

    • Knowledge of applicable laws, regulations, rules and codes of conduct