Retail Trade Support

Workflow Template

Retail Trade Support

Workflow Template

This workflow template illustrates the detection, investigation and resolution of trade errors, or exceptions, for retail (i.e., non-commercial/business) investors. 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 Support processes.

Related KPIs : Equities Trade Executions per Equities Trading Employee, Trade Processing Error Rate: Equities, Unit Cost: Trade Processing (Back Office), Unit Cost: Trade Settlement

What is Retail Trade Support?

The Retail Trade Support process involves coordination between retail investors, trade operations and support staff (middle/back office) and customer service team members to detect and resolve errors, or exception, related to trades. This process is triggered when a trade operations and support team member receives an error, or exception, related to a trade they are attempting to execute. The trade support team member then sends a list of all unresolved trade exceptions to the customer service group for investigation and resolution.

Download a Sample Retail Trade Support

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