Securities Trading
Competency Title:
Securities Trading
Competency Type:
Functional
Competency Description
This competency refers to the ability to perform the securities transactions according to applicable procedures and regulations. The scope includes acquiring and disposing of securities.
Level 1 - Awareness
Level 1
• Identify rules and regulations related to securities.
• Recognise types of orders for securities trading.
• Liaise and update clients on their trading transaction status.
Level 2 - Knowledge
Level 2
• Outline all policies, rules and regulations pertaining to securities trading.
• Receive and record trading orders from clients according to procedures.
• Recognise the demand for specific securities.
Level 3 - Skill
Level 3
• Manage all trades in the trading system in accordance with procedures and regulations.
• Execute the trading orders in accordance with client's requirements.
• Advise client on their investment to align with their investment objective and risk appetite.
Level 4 - Mastery
Level 4
• Analyse impact of new laws and regulations on current trading practices.
• Plan the execution of trading activities in accordance with trading procedures and regulations.
• Monitor trading team performance and recommend improvements to the trading strategy.
Level 5 - Expert
Level 5
• Review all trades for compliance with Acts, rules and regulations.
• Lead the team in systematic problem resolution methods for handling client complaints.
• Drive innovation and development of processes and procedures to improve trading strategy.