1. Complete pre-deal documentation and authorisations
   • Complete onboarding checks for new clients according to regulatory requirements and organisational guidelines
   • Establish and confirm type of transaction client wishes to undertake
   • Check and confirm master agreement is in place for client and relevant transaction
   • Confirm client authorisation to trade in specified financial product and for relevant transaction
   • Discuss, clarify and resolve any issues related to product or transaction with client
2. Execute transaction for client
   • Check and verify that transaction is within client’s and own authorised trading limits
   • Confirm with client whether trade is to be centrally cleared
   • Confirm details of trade and obtain client’s acknowledgement
   • Capture accurate details of transaction in organisation’s systems, including risk management requirements in required timeframe
   • Report details of transaction to authorised trade repository as required
3. Complete processes for confirming and settling transaction
   • Forward details of transaction order to client promptly
   • Complete financial transaction according to organisation and industry requirements
   • Investigate exceptions and fails promptly if notified by investigations teams or relevant personnel

This section specifies different work environments and conditions that may affect performance. Essential operating conditions that may be present (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) are included.

Evidence of the ability to:

Note: If a specific volume or frequency is not stated, then evidence must be provided at least once.

To complete the unit requirements safely and effectively, the individual must: