Trade Review & Settlement Process Workflow Template

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Overview: Trade Review & Settlement Workflow Template

This workflow template illustrates the post-trade review of recently executed trades, as well as the subsequent correction of any errors detected by trade operations and support (middle/back office) team members. 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 Trade Review & Settlement processes.

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Process Details and FAQ: Trade Review & Settlement

What is included in the Trade Review & Settlement process?

The Trade Review & Settlement process involves coordination between front office trading staff (investment analysts, associates), trade operations and support team members (middle/back office) and any third party financial institutions to perform reviews of recently executed trades to ensure that any failures are addressed in a timely fashion. If a trade discrepancy is detected, the trading party and the counterparty discuss methods for resolving the failure and work with trade operations and support staff members to resolve the issue. After the issue is resolved, the trade is settled and data is updated and re-entered where needed.

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

The following metrics may be used to measure the Trade Review & Settlement process:

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

The following parties are typically involved in the Trade Review & Settlement process:

  • Investment Analysts/Associates
  • Custodian Financial Institution(s)
  • Trade Operations & Support Staff (Middle/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


    Trade Review & Settlement

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


    Call: 844-650-2888


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