Explore Financial Academy
About the Academy
Discover our Rich, 60-Year Journey
Jadarat
A Comprehensive System for Skill and Knowledge Development
Governance
Meet our Inspiring Leadership
Success Stories
Check out our Clients’ Reviews and Testimonials
...
Enhancing brokerage professionals’ capabilities through effective trading strategies, improved execution quality, and professional compliance.
This program aims to develop the capabilities of brokerage professionals in the Saudi capital market by deepening their understanding of trading mechanisms, order execution quality, and compliance requirements set by the Capital Market Authority and Tadawul. It covers professional trading strategies, market depth analysis, and effective handling of client orders with accuracy and professionalism. The program also addresses the daily challenges faced by brokers and introduces global best practices to reduce operational errors and enhance service quality. Participants will strengthen their ability to manage investor relationships, understand client behaviors, and apply modern approaches in compliance and risk. The training adopts an interactive methodology supported by Saudi market case studies and practical exercises that enable participants to translate knowledge into real operational performance improvements.
Capital Market
Trading and Investment
Not Exist
Lecture
Case Studies +2
Lecture
Case Studies
Dialogue Teams
Exercises and assignments
Pre Assessment
Post Assessment
Brokerage employees working in securities firms.
Trading and order execution employees.
This provides you with the opportunity to select the available times that suit you best for participation in our program. These times represent slots during which we are ready to welcome you and provide assistance and guidance.
In Class Training
Brokerage business models
Regulatory authorities
Operational environment of brokerage
Market structure and traded instruments
In Class Training
Broker obligations under CMA rules
Investor protection and disclosure requirements
Financial crime and anti–money laundering measures
Regulatory controls and compliance procedures
In Class Training
Types of trade orders
Professional trading strategies
Reading market depth
Liquidity analysis and entry/exit timing
In Class Training
Concept of Best Execution
Execution speed and accuracy
Managing and monitoring client orders
Avoiding operational errors in trading
In Class Training
Understanding investor needs
Managing client expectations
Handling objections
Enhancing service quality
In Class Training
Definition and classification of operational risks
Common operational incidents in brokerage
Operational controls (Controls)
Managing operational exceptions and Saudi market case studies
Understand the regulatory and operational framework of brokerage and the role of supervisory authorities in the Saudi market.
Analyze and apply key trading strategies, including reading market depth to support decision-making.
Improve order execution quality (Best Execution) and reduce operational errors within trading platforms.
Apply compliance and regulatory requirements in brokerage activities in accordance with CMA and Tadawul rules.
Enhance client relationship management skills and handle investor requests efficiently and professionally.
Identify operational risks in trading desks and establish effective controls to mitigate them.
