Trade Review & Settlement

Workflow Template

Trade Review & Settlement

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.

Related KPIs : Equities Trade Executions per Equities Trading Employee, Expense Ratio: Investment Fund Management, Trade Operations & Support Headcount Ratio, Trade Processing Error Rate: Equities, Unit Cost: Trade Processing (Back Office), Unit Cost: Trade Settlement

What is Trade Review & Settlement?

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.

Download a Sample Trade Review & Settlement

Frequently Asked Questions

Q: How do you create your Workflow Templates?

A: From real-world consulting engagements with Fortune 500 leaders. We’ve spent 25 years analyzing operations at hundreds of leading companies worldwide, documenting thousands of business processes at precise levels of detail. We’ve anonymized this data—drawn from millions of dollars’ worth of consulting assignments—and have made it available to you in easy-to-use templates at affordable OpsDog prices.

Q: What can a Workflow Template do for me?

A: Boost productivity, efficiency, and service levels! Broken business processes—marked by manual workarounds, downtime, and errors—are all too common. Many businesses write off this waste as “the cost of doing business.” But you know better than that! Simply select the OpsDog Workflow Template that best fits your situation, tweak it to your liking, and then use it to train employees, identify process improvements, inform an IT project, or re-design a workflow. That’s a lot of power in your hands, cheap!

Q: What’s in the box when I buy one?

A: Three handy versions, all in one zipped file. It’s yours to download immediately upon purchase, and includes your chosen Workflow Template in PDF format, plus Microsoft PowerPoint (which you can edit), and Visio (which you can also edit).

Q: Your download-able templates look great. But I need something custom. Can you help?

A: Heck yes. Our analysts would be happy to provide you with a more detailed Workflow Template than what we offer for instant download. We can also develop an entirely new, customized Workflow Template to fit your business; we specialize in this stuff and would love to help you! Simply email us ( or call us at 866.650.2888 and one of our friendly professionals will be happy to answer all your questions.

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