Trade Reconciliation Process Workflow Template

OpsDog Trade Reconciliation Workflow - Preview Image

Overview: Trade Reconciliation Workflow Template

This workflow template illustrates the review of all trades executed over a certain period of time (typically one day) to identify, communicate and resolve (i.e., reconcile) trade breaks. 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 the Trade Reconciliation process.

Download a Free Sample of this Workflow Template


Process Details and FAQ: Trade Reconciliation

What is included in the Trade Reconciliation process?

Trade Reconciliation refers to a set of post-trade activities (typically T+0 or T+1) related to identifying and resolving trade breaks. A trade break, or failure, can occur for many reasons: mismatched prices or amounts, incorrect accounts listed, misallocated bunches, insufficient funds, etc. The trade operations and support team (middle/back office) is responsible for reviewing all trades executed over a certain period of time and compiling a list of errors, or exceptions, to review. They then send that list to the trading execution desk to gather information on the trade breaks to assist with resolution. The front and middle/back office team members collaborate to identify and resolve the "true" trade breaks. The trade data is updated to correct the breaks, and all systems are updated to reflect these fixes.


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

The following metrics may be used to measure the Trade Reconciliation process:



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

The following parties are typically involved in the Trade Reconciliation process:


  • Customers (Institutional Investors)
  • Sales & Trading Staff (Front Office)
  • 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.


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.


Questions?Call: 844-650-2888Email: info@opsdog.com
  • Workflow Template

    $15

    Trade Reconciliation

    - Instantly download files
    - Includes PDF, PPT, VSD file formats
    - Customize VSD and PPT versions

    Questions?

    Call: 844-650-2888

    Email: info@opsdog.com

Related Products

Looking for a custom solution?

OpsDog’s remote analytical team can provide custom, high quality data, reports and analysis for your organization with low cost and risk. Custom solutions include:

Questions?Call: 844-650-2888Email: info@opsdog.com

Let's find a solution that works for you. Fill out the form below and an OpsDog team member will contact you shortly to learn more about your needs...

Need help?
Call: 844-650-2888
Email: info@opsdog.com
TOTAL:
Tax will be calculated in the purchase step.
Continue to Payment
Please login to continue your purchase
Need help?
Call: 844-650-2888
Email: info@opsdog.com
Need help?
Call: 844-650-2888
Email: info@opsdog.com
Back to Top