Equity Dealer Course (4Months)

Equity Dealer:

Brief Job Description:

Equity dealers buy and sell investment and financial instruments on behalf of their clients. They also provide market insights and investment advice to potential and existing clients.
Personal Attributes:

The individual is required to have numerical and analytical skills. He/She must be able to perform multiple tasks accurately within fixed timelines in a high-pressure environment Free Equity Dealer Course (4Months).

Prepare for Dealing Operations:

Operations
To be competent, the user/individual on the job must be able to:
Set-up the dealing terminal and log in their identification details
Ensure all requisite software is uploaded and running on the terminal
Resolve any problems with software or terminal if necessary
Receive list of clients from supervisor/online schedule/client liaison
Update new client details into information system from list given
Contact supervisor in case of any missing information

regarding details to be updated
Verify all existing client details are available on the system
Contact IT and Technical maintenance incase of severe technical issues
Report all technical and manual

errors to concerned supervisor/manager

Market Knowledge Development/ Advisory

To be competent, the user/individual on the job must be able to:
Obtain market analysis reports on various securities

traded from research team or secondary sources of information
Read and interpret reports/information to develop key

insights and understanding of the financial markets
Assist client liaison with market information/insights for

the purpose of reaching out to clients
Respond to client queries related to market trends if required

General/ Administrative

To be competent, the user/individual on the job must be able to:
Prepare daily reports of all errors encountered

during set-up of terminal and update updation of client list
Prepare regular reports of number of clients serviced by dealer and details of the same
Fill in forms for technical maintenance and repairs as required

by organizational procedures Knowledge and Understanding (K) A.

Organizational Context

The user/individual on the job needs to know and understand:

Types of documentation in the organization and importance of the same

Standard operating procedure for setting up terminal

Risk and impact of not following organizational and

industry regulations in set-up and operation of terminal

Records to be maintained and implications of non-maintenance of the same

Security procedures for handling sensitive information

including client financial data, market transactions etc.

Stock market regulations and laws

Rules and regulations of trading floor

Roles of all colleagues part of the broking/trading process

The procedure in the case of addressing customer grievances

Escalation matrix for problems unresolved

Format for preparing reports

Technical Knowledge

The user/individual on the job needs to know and understand:

. Types of securities dealt with including stocks, bonds etc

Controls and processes for operating exchange terminal

IT processes to raise queries and resolve minor technical problems

Basic accounting concepts and principles KB5. Basic understanding of financial markets

Methods for carrying out secondary research to develop market insights, if required Free Equity Dealer Course (4Months)

Generic Skills

Writing Skills Content AI 
The user/ individual on the job needs to know and understand how to:
Prepare concise periodic reports to be submitted to supervisor/manager
Fill in forms for technical maintenance etc.

Reading Skills

The user/individual on the job needs to know and understand how to:
Read organizational and industry regulations and guidelines
Read client details from list received and input the same into the information system

Integrity
The user/individual on the job needs to know and understand how to:

Maintain integrity with respect to company property and equipment

Oral Communication (Listening and Speaking skills)
The user/individual on the job needs to know and understand how to:
Listen to the customers to be able to offer insight and advice on securities
Communicate clearly with the customer using language that he/she understands.
Communicate with peers and supervisors with

professionalism to work towards company objectives Free Equity Dealer Course (4Months)

Professional Skills

Decision Making
The user/individual on the job needs to know and understand how to:
Decide at what prices to buy/sell for orders that are given broad price

ranges or minimum/maximum price limits
Coordinate orders to ensure maximum value is created from transactions

Time Management
The user/individual on the job needs to know and understand how to:
Complete all preparatory tasks before markets are open for trading
Prioritize and execute tasks in a high pressure environment
Balance multiple tasks and complete them within fixed timelines

Problem Solving
The user/individual on the job needs to know and understand how to:
Address problems arising out of either technical, customer or

administration related aspects and escalate those unresolved issues to appropriate personnel

Analytical Skills
The user/individual on the job needs to know and understand how to:
Assess clients financials and understand client capacity to buy/sell securities
Develop insights and analyze trends from industry reports,

secondary sources for market analyses etc.
Breakdown and assimilate complex and high volumes of information
. Pay attention to minute details to each and every task

Mathematical Skills
The user/individual on the job needs to know and understand how to:
Perform computations quickly and accurately
Process large numeric values and input the same into the information system

Critical Thinking
The user/individual on the job needs to know and understand how to:
. Consistently obtain feedback and improve their performance
Exercise judgment in unforeseen situations which preserve

company values and are in line with organizational guidelines

Carry Out Dealing Operations:

Operations
To be competent, the user/individual on the job must be able to:
. Receive orders from clients via various communication modes

such as telephone, online system or from client liaison
Carry out client identity authentication before noting order
Obtain mandatory order details such as stock type, volume, etc. and additional details if necessary
Ensure client accounts have sufficient credit/stock for buy/sell transaction
Confirm receipt of order and input the same into the information system/order file
Determine exchange on which transaction is to be executed according to

clients’ instruction/availability of stock etc.
. Prepare buy and sell order lists with all details factored in or submit order for

the same into the information system
Contact supervisor in case of any missing information regarding details required to carry out an order
Bundle or schedule orders according to timeline, company or any other criteria as applicable
Ensure each order/transaction is within regulatory limits of volume and value , if any
. Carry out the orders by punching in buy/sell orders at appropriate terminals
Report orders that could not be executed to supervisor, appropriate personnel, and client if necessary
Ensure total orders executed are within volume limits set by the exchange and regulatory authorities
Determine appropriate solution for orders executed at volumes lower than

instructed in accordance with company procedures
Ensure timely executions of orders and report any delays or technical issues to IT and maintenance teams
Report all technical and manual errors to concerned supervisor/manager
Notify back office or input the status into the terminal for every order executed/transaction performed
Communicate the order status to the client if necessary

Market Knowledge Development/ Advisory

To be competent, the user/individual on the job must be able to:
Obtain market analysis reports on various securities traded from research team or secondary sources of information
Read and interpret reports/information to develop key insights and understanding of the financial markets
Assist client liaison with market information/insights for the purpose of reaching out to clients
Respond to general client queries regarding market status, investments
Assist clients with identifying investments and planning orders, if necessary
Reach out to clients in case of unanticipated market risk or new information regarding orders received or pending

General/ Administrative
To be competent, the user/individual on the job must be able to:
Prepare daily reports of all errors encountered during operation of terminal
Prepare regular reports on number of orders converted into executed transactions,

number of orders executed partially and number of orders that haven’t been executed
Fill in forms for technical maintenance and repairs as required by organizational procedures
. Fill in forms for any transaction errors as required by organizational procedures
Adhere to risk and compliance procedures as outlined by organizational guidelines

Organizational Context

The user/individual on the job needs to know and understand:

KA1. Types of documentation in the organization and importance of the same

KA2. Standard operating procedure for operating terminal

KA3. Risk and impact of not following organizational and industry regulations in operation of terminal

KA4. Records to be maintained and implications of non-maintenance of the same

KA5. Security procedures for handling sensitive information including client

financial data, market transactions etc.

KA6. Stock market regulations and laws

KA7. Rules and regulations for dealers

KA8. Implications of errors made during the dealing process

KA9. Procedure for buying and selling securities different exchanges

KA10. Roles of all colleagues part of the broking/trading process

KA11. The procedure in the case of addressing customer grievances

KA12. Escalation matrix for problems unresolved

KA13. Format for preparing reports

Technical Knowledge

The user/individual on the job needs to know and understand:

KB1. Types of securities dealt with including stocks, bonds etc

KB2. Controls and processes for operating exchange terminal

KB3. Technical procedure and specifications required to operate at different exchanges

KB4. IT processes to raise queries and resolve minor technical problems

KB5. Accounting concepts and principles and how to interpret them

KB6. Economic concepts such as GDP growth, macroeconomic indicators etc.

KB7. Financial markets and factors that impact them

KB8. Factors influencing prices at which securities are bought and sold

KB9. Methods for carrying out secondary research to develop market insights, if required

Generic Skills  Content Al

Writing Skills
The user/ individual on the job needs to know and understand how to:
SA1. Prepare concise periodic reports to be submitted to supervisor/manager
SA2. Fill in forms for technical maintenance etc.
SA3. Prepare order lists in accordance with client orders received
SA4. Prepare order status reports/notifications if required

Reading Skills
The user/individual on the job needs to know and understand how to:
SA5. Read and understand organizational and industry regulations
SA6. Read orders from order lists and carry out transactions
SA7. Read and assimilate information on terminal to carry out transactions

Oral Communication (Listening and Speaking skills)
The user/individual on the job needs to know and understand how to:
SA8. Listen to the clients requirements/ queries carefully

and offer insight and advice on securities
SA9. Communicate with the customers clearly and effectively
SA10. Communicate with peers and supervisors and maintain

professionalism in the business environment

Professional Skills

Decision Making
The user/individual on the job needs to know and understand how to:
SB15. Decide at what prices to buy/sell for orders that are given broad

price ranges or minimum/maximum price limits
SB1. Coordinate orders to ensure maximum value is created from transactions

Time Management
The user/individual on the job needs to know and understand how to:
SB2. Prioritize and execute tasks in a high pressure environment
SB3. Balance multiple tasks and complete them within fixed timelines

Problem Solving

The user/individual on the job needs to know and understand how to:
SB4. Address problems arising out of either technical, customer or

administration related aspects and escalate those unresolved issues to appropriate personnel

Analytical Thinking
The user/individual on the job needs to know and understand how to:
SB5. Assess clients financials and understand client capacity to buy/sell securities
SB6. Develop insights and analyze trends from industry reports, secondary

sources for market analyses etc.
SB7. Breakdown and assimilate complex and high volumes of information
SB8. Pay attention to minute details while performing each and every task

Mathematical Skills
The user/individual on the job needs to know and understand how to:
SB9. Process large numeric values and input the same into the information system
SB10. Perform computations quickly and accurately

Critical Thinking
The user/individual on the job needs to know and understand how to:
SB11. Consistently obtain feedback and improve their performance
SB12. Exercise judgment in unforeseen situations which preserve company values and are in line with organizational guidelines

Integrity
The user/individual on the job needs to know and understand how to:
SB13. Maintain integrity with respect to company time, property and equipment
SB14. Maintain integrity with respect to sensitive client information