Review of Financial Instruments Specialist role and responsibilities
3
Approval: Understanding of Role
4
Introduction to Financial Instrument systems used
5
Login Credentials Setup for Relevant Systems
6
Security Training on Sensitive Financial Data
7
Approval: Security Training
8
Basics on Financial Instruments Training
9
Meet with Team Members
10
Training on company's risk management policies
11
Approval: Risk Management Policies
12
Workshop on Regulatory Compliance
13
Introduction to the Compliance Department
14
E-learning module on Portfolio Risk Assessment
15
Approval: E-learning Completion
16
Hands-on training on Financial Instruments Analysis tools
17
Guidelines on Reporting and Documentation
18
Shadow Senior Financial Instruments Specialist
19
Approval: Shadowing Completion
20
Discuss Performance Objectives with Supervisor
21
Start First Assignment under Supervision
Introductions and Orientation with Supervisor
This task is focused on getting to know your supervisor and familiarizing yourself with the company's structure and culture. It plays a key role in establishing a good working relationship and setting expectations for the onboarding process. The desired result is to create a positive and supportive environment for your integration into the team. You will discuss your responsibilities, objectives, and any concerns or questions you might have. How would you rate your level of excitement for this new opportunity? Do you have any previous experience in a similar role? How do you envision contributing to the team and the company? What are your expectations for your supervisor's role in your onboarding process?
1
1. Not excited at all
2
2. Mildly excited
3
3. Moderately excited
4
4. Very excited
5
5. Extremely excited
1
1. No experience
2
2. Less than a year
3
3. 1-3 years
4
4. 3-5 years
5
5. More than 5 years
Review of Financial Instruments Specialist role and responsibilities
This task is designed to familiarize you with the role of a Financial Instruments Specialist and the responsibilities that come with it. It provides an overview of the key tasks, knowledge areas, and skills required for this position. The desired result is to ensure that you have a clear understanding of what is expected of you and how to perform your job effectively. What are the main tasks of a Financial Instruments Specialist? What knowledge areas are essential for this role? What skills are important to excel in this position? How will you apply your existing skills and knowledge to this role?
1
1. Financial markets
2
2. Risk management
3
3. Compliance regulations
4
4. Data analysis
5
5. Reporting standards
1
1. Attention to detail
2
2. Analytical thinking
3
3. Communication skills
4
4. Problem-solving abilities
5
5. Time management
Approval: Understanding of Role
Will be submitted for approval:
Review of Financial Instruments Specialist role and responsibilities
Will be submitted
Introduction to Financial Instrument systems used
This task aims to introduce you to the different systems and software used in the financial instruments analysis process. It provides an overview of their purpose, capabilities, and how to navigate them effectively. The desired result is for you to feel comfortable and confident in using these systems to perform your tasks efficiently. What are the key financial instrument systems used in the company? What is the purpose of each system? How do you navigate through the systems? How will you leverage these systems to enhance your work? Do you have any previous experience with similar systems?
1
1. No experience
2
2. Limited experience
3
3. Moderate experience
4
4. Extensive experience
Login Credentials Setup for Relevant Systems
In this task, you will be provided with the necessary login credentials to access the various financial instrument systems. It is essential to keep these credentials secure and confidential. The desired result is for you to have access to the systems and be able to log in without any issues. What systems do you need login credentials for? Are there any specific instructions for logging in to each system? Are there any restrictions or security measures in place? How will you ensure the security and confidentiality of your login credentials?
Security Training on Sensitive Financial Data
This task focuses on the importance of data security and confidentiality in the handling of sensitive financial information. It provides guidelines and best practices for safeguarding data and preventing security breaches. The desired result is for you to have a solid understanding of data security protocols and the ability to apply them in your work. Why is data security crucial in the financial instruments field? What are the potential risks and consequences of a security breach? How can you contribute to maintaining data security? What measures will you take to protect sensitive financial data?
Approval: Security Training
Will be submitted for approval:
Security Training on Sensitive Financial Data
Will be submitted
Basics on Financial Instruments Training
This task provides an introduction to the basics of financial instruments. It covers the different types of financial instruments, their characteristics, and their role in the financial markets. The desired result is for you to have a solid foundation in understanding financial instruments and their significance in your role. What are the main types of financial instruments? What are the key characteristics of each type? How do financial instruments contribute to the functioning of the financial markets? How will this knowledge help you in your work?
1
1. Equity instruments
2
2. Debt instruments
3
3. Derivative instruments
4
4. Money market instruments
5
5. Foreign exchange instruments
Meet with Team Members
This task is focused on meeting and getting to know your new team members. It helps establish a sense of belonging and collaboration within the team. The desired result is for you to feel comfortable and integrated into the team. Who are the key members of the team? What are their roles and responsibilities? How will you collaborate with each team member? What are their expectations for working with you?
Training on company's risk management policies
This task provides training on the company's risk management policies and procedures. It covers the identification, assessment, and mitigation of risks in the financial instruments domain. The desired result is for you to have a good understanding of the risk management framework and the ability to apply it in your work. What are the key components of the company's risk management framework? How are risks identified, assessed, and mitigated? What role do you play in the risk management process? How will you incorporate risk management into your daily tasks?
Approval: Risk Management Policies
Will be submitted for approval:
Training on company's risk management policies
Will be submitted
Workshop on Regulatory Compliance
This task provides a workshop on regulatory compliance in the financial instruments field. It covers the relevant laws, regulations, and industry standards that need to be followed. The desired result is for you to have a good understanding of regulatory compliance and the ability to ensure adherence in your work. What are the key laws and regulations governing the financial instruments field? What industry standards need to be followed? How can you ensure compliance in your work? What are the potential consequences of non-compliance?
1
1. ISO 9001
2
2. Basel III
3
3. MiFID II
4
4. Dodd-Frank Act
5
5. Sarbanes-Oxley Act
Introduction to the Compliance Department
This task is aimed at introducing you to the Compliance Department and its role within the organization. It provides an overview of the department's functions and responsibilities. The desired result is for you to understand the importance of the Compliance Department and how it supports your work. What is the role of the Compliance Department? How does it ensure adherence to laws, regulations, and industry standards? How can you collaborate with the Compliance Department in your work? What resources does the department provide?
E-learning module on Portfolio Risk Assessment
This task involves completing an e-learning module on portfolio risk assessment. It covers the methodology, tools, and techniques used to assess and manage risks in investment portfolios. The desired result is for you to acquire the knowledge and skills necessary to perform portfolio risk assessment effectively. What are the key concepts and principles of portfolio risk assessment? What tools and techniques are used in the process? How will you apply portfolio risk assessment in your work? Are there any challenges or concerns you have about this topic?
Approval: E-learning Completion
Will be submitted for approval:
E-learning module on Portfolio Risk Assessment
Will be submitted
Hands-on training on Financial Instruments Analysis tools
This task involves hands-on training on the specific tools and software used for financial instruments analysis. It provides practical guidance on how to use the tools effectively and interpret the results. The desired result is for you to be proficient in using the analysis tools and leveraging them to make informed decisions. What are the key financial instruments analysis tools used in the company? How do you navigate through the tools and perform analysis? What are the common challenges in using these tools and their remedies? How will you verify the accuracy of analysis results?
1
1. Slow performance
2
2. Data inconsistencies
3
3. Limited functionality
4
4. Compatibility issues
5
5. Steep learning curve
Guidelines on Reporting and Documentation
This task provides guidelines on reporting and documentation requirements for financial instruments analysis. It covers the format, content, and frequency of reports and documentation. The desired result is for you to have a clear understanding of the reporting and documentation standards and the ability to produce accurate and concise reports. What are the key reporting and documentation requirements? What is the standard format for reports? How often do reports need to be submitted? How will you ensure accuracy and clarity in your reports?
1
1. Daily
2
2. Weekly
3
3. Monthly
4
4. Quarterly
5
5. Annually
Shadow Senior Financial Instruments Specialist
This task involves shadowing a senior Financial Instruments Specialist to observe and learn from their expertise. It provides an opportunity to gain practical insights and apply theoretical knowledge in real-life scenarios. The desired result is for you to acquire hands-on experience and enhance your skills through observation and guidance. Who will be your senior Financial Instruments Specialist mentor? What specific tasks and activities will you observe and participate in? How will you reflect on and apply the learnings from this experience? What questions or clarifications do you have regarding the tasks observed?
Approval: Shadowing Completion
Will be submitted for approval:
Shadow Senior Financial Instruments Specialist
Will be submitted
Discuss Performance Objectives with Supervisor
This task involves a discussion with your supervisor on your performance objectives and goals. It ensures alignment between your personal targets and the company's expectations. The desired result is for you to have a clear understanding of your performance objectives and how to achieve them. What are your performance objectives for the coming period? How do these objectives contribute to the team and company goals? What support and resources do you need to accomplish these objectives? How will you measure and track your progress?
Start First Assignment under Supervision
This task involves starting your first assignment under the supervision of your mentor or supervisor. It allows for hands-on application of your knowledge and skills in a real work scenario. The desired result is for you to successfully complete the assignment and receive feedback on your performance. What is your first assignment? What specific tasks and deliverables are expected? How will you seek guidance and support during the assignment? How will you demonstrate your learning and contribute to the success of the assignment?
