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Prime Brokerage Analyst Onboarding

Provide the new Analyst with their Access Credentials

Schedule Prime Brokerage training

Ensure the new Analyst has completed their mandatory compliance training

Approval: Compliance Training

Setup Inhouse Software

Provide introduction to the Prime Brokerage account management

Guide through securities lending processes

Train on risk management methodologies

Familiarize with daily transaction reporting

Ensure understanding of credit limit monitoring

Introduction to trade reconciliations

Teach the methods of addressing client inquiries

Approval: Prime Brokerage Trained

Assign a mentor for continuous guidance

Setup meeting with assigned relationships manager

Train on how to prepare client reports

Share the contacts of relevant support teams

Introduce to in-house research resources

Educate about the details of regulatory guidelines

Register the new Analyst in the system

To get started, register the new Analyst in the system using their personal information such as full name, email address, contact number, and start date. This will ensure that they have a unique profile set up for them in our system. This task is crucial as it establishes the new Analyst's presence in the organization and allows us to manage their onboarding process effectively. If there are any issues or challenges during registration, please contact the HR team for assistance.

Full Name

Email Address

Contact Number

Start Date

Provide the new Analyst with their Access Credentials

Now that the new Analyst is registered in the system, it's time to provide them with their access credentials. This includes their username and temporary password. By doing so, they will be able to login to our internal systems and perform their duties. Make sure to securely share this information with the Analyst and remind them to change their password upon first login. Promptly communicate any changes or issues with access credentials to the IT department.

Username

Temporary Password

Schedule Prime Brokerage training

To kickstart the onboarding process, schedule Prime Brokerage training for the new Analyst. This training will introduce them to the key concepts, processes, and tools involved in prime brokerage services. It will equip them with the necessary knowledge and skills to effectively perform their role. Take into consideration the Analyst's availability and the availability of the training resources. Ensure that all required equipment and materials are prepared in advance.

Training Date

Ensure the new Analyst has completed their mandatory compliance training

Prior to progressing further, it is important to ensure that the new Analyst has completed their mandatory compliance training. This training covers the regulatory guidelines and policies that the Analyst needs to adhere to in their role. Confirm with the HR or Compliance department about the completion status of the training and update their profile accordingly. If the training is pending or not completed, coordinate with the necessary teams to ensure its successful completion.

Training Status

1

Completed
2

Pending
3

Not Started

Approval: Compliance Training

Ensure the new Analyst has completed their mandatory compliance training
Will be submitted

Setup Inhouse Software

Provide introduction to the Prime Brokerage account management

Guide through securities lending processes

Train on risk management methodologies

Familiarize with daily transaction reporting

Ensure understanding of credit limit monitoring

Introduction to trade reconciliations

Teach the methods of addressing client inquiries

Approval: Prime Brokerage Trained

Provide introduction to the Prime Brokerage account management
Will be submitted
Guide through securities lending processes
Will be submitted
Train on risk management methodologies
Will be submitted
Familiarize with daily transaction reporting
Will be submitted
Ensure understanding of credit limit monitoring
Will be submitted
Introduction to trade reconciliations
Will be submitted
Teach the methods of addressing client inquiries
Will be submitted