Retail Trade Capture & Entry Process Workflow Template

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Overview: Retail Trade Capture & Entry Workflow Template

This workflow template illustrates the collection of trade orders from retail, or individual, investors and the subsequent entry, execution, confirmation and report generation related to the trade. Purchase and download this template in PDF, PowerPoint (PPT) and Visio (VSD) formats. You can customize it to fit your own organization, or simply use it to better understand Retail Trade Capture & Entry processes.

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Process Details and FAQ: Retail Trade Capture & Entry

What is included in the Retail Trade Capture & Entry process?

Retail Trade Capture & Entry refers to a set of activities and sub-processes related to collecting information regarding trades from retail (i.e., non-business/commercial investors) investors and executing trades based on the investor's "order." After the trade details have been captured, they are sent to the middle office for validation. Concurrently, client services staff will ensure that the proper funds are in place to execute the trade. After the trade is successfully executed, a confirmation is sent to the client. In some cases, post-trade adjustments (on day T+1) are required to complete the trade.

Which KPIs, or metrics, are typically used to measure this process?

The following metrics may be used to measure the Retail Trade Capture & Entry process:

Which employees and/or departments are involved in this process?

The following parties are typically involved in the Retail Trade Capture & Entry process:

  • Investors (Individuals)
  • Financial Advisors
  • Trade Operations & Support Staff (Middle/Back Office)
  • Client Services Staff (Back Office)

What is the purpose of these workflow templates?

Broken business processes pervade companies, large and small. Manual workarounds, downtime, errors and other waste is thought of as "the cost of doing business." Use our workflow templates as a starting point to document your own processes. Customize them to fit your business and add "call outs" for improvement opportunities.

How are these workflow templates created?

These workflow templates are the product of over 20 years of hands-on management consulting experience, as well as research performed by the OpsDog team. All of our workflows are mapped using the BPMN 2.0 specification.

How do I download a workflow template?

Simply click the "add to cart" button and follow the process to purchase and download this workflow template. You can use any major credit card, or a PayPal account, to pay. After you have completed the purchase, you will receive a link to immediately download the workflow template in PDF, PowerPoint (PPT) and Visio (VSD) file formats. If you aren't a registered OpsDog user yet, create a free account! New users get $20 off of their first purchase.

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  • Workflow Template


    Retail Trade Capture & Entry

    - Instantly download files
    - Includes PDF, PPT, VSD file formats
    - Customize VSD and PPT versions
    - Mapped in BPMN 2.0 format


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