Competency Details ( Dealing )

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Competencies

Jadarat Competencies

Dealing

Efficiency Technical Competency

Develops knowledge of the financial market and the securities' dealing and underwriting. Understands the current regulations that govern securities' buying and selling, whether in person or through brokers, and effectively applies this knowledge and understanding on the job.

Jadarat Code: T26

Level 1

Demonstrates a basic understanding of the different types of security products used in the financial market. Has basic knowledge of the industry's applicable regulations that govern securities' buying and selling and applies within the context of own job.

Level 2

Builds on specialised knowledge of procedures, standards and guidelines set by the organization for securities' dealing and underwriting, and the understanding of industry-relevant regulations governing securities' buying and selling. Distinguishes between the different types of security products and initiates the related dealing and underwriting processes within the context of own job and the team.

Level 3

Understands deeply the context and all aspects of Securities' dealing, and follows the appropriate techniques that are required to manage securities in the dealing system. Assists others across the teams in coordinating the execution of securities' dealing and underwriting orders, in line with the applicable regulations and customer requirements.

Level 4

Uses full knowledge of the securities' dealing and underwriting processes, methods and tools, to plan and monitor the execution of dealing activities in accordance with the applicable regulations. Advises and supports the departments in identifying the appropriate performance indicators for the securities' dealing and underwriting activities.

Level 5

Applies subject matter expertise in the relevant laws and regulations to define the organization's securities' dealing and the underwriting strategy and guidelines. Reviews the current methods of securities products' dealing and underwriting to ensure their effectiveness, and recommends and drives the execution of new/improved methods as necessary.