Dealing in Securities
|
Function-Role Relationship Matrix |
Generic Job Role Cluster | ||||
Management
|
Professional
|
Support
|
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| Function Cluster |
Front-office
|
Dealing |
Head of Dealing Dealing Manager |
Dealer Representative |
Trading Representative Trading Clerk |
| Sales/Distribution |
Employee of Registered Person |
Marketing Representative |
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|
Middle-office
|
Compliance |
Head of Compliance |
Compliance Officer |
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| Risk Management |
Risk Manager |
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| Internal Audit |
Internal Auditor |
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|
Back-office
|
Operations |
Head of Operations Operations Manager |
Operations Executive/Clerk |
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