The Effective Use of Technology
Lesson 5 Overview
This instructional lesson, An Overview of “Securities Processing” Procedures, will provide an instructor in training with the tools and knowledge required to ensure future staff in preparation is well prepared to perform daily responsibilities.
- Training Lab with presentation resources.
- Online learning resources (http://www.dtcc.learning.com/Resources/Training)
- Application user manuals
- Quick tip reference guides
- Procedural simulations
Performance Objective 5
Given instruction and access to the company intranet environment, the in-house learning center, the core development portal and the Cornerstone learning portal instructors will demonstrate user ability to access resources within the user test environment that aligns well with the objectives. Upon completing one hour of practice accessing and navigating multiple systems and learning assets within the learning portal the instructor while being observed will demonstrate the acquired skill to access, retrieve and disseminate learning resources to respective peers.
As previously noted within a predetermined time, the instructor must navigate the various applications and distribute learning resources within a thirty-minute window, with one hundred percent accuracy.
Time: 4 - 1 hour - Lessons Summary by Topic Segment
An Overview of “Securities Processing” Procedures
Segment 1 Topic:
- What is the relevance augmented volatility multiplier?
- Common ATC Terminology and Key Players
Segment 2 Topics:
- Identify model risk- collateral requirements
- Describe market risk -margin of trades.
Segment 3 Topics:
- Describe the concept of multilateral netting.
- Describe securities money settlement best practices.
Segment 4 Topics:
- Identify the risk associated to fail position tracking (systemic).
- Key risks and mitigating controls
Step 1: Pre-Instructional Activity
The instructor will initiate a conversation to determine the instructors in training level of knowledge about Securities Processing” Procedures and respective processing systems.
Step 2: Content Presentation
The instructor will guide discussion reviewing Securities Processing” Procedures. The presentation facilitated within designation training labs on Smart Board devices and for globally disbursed staff. The lesson will include, pre-recorded simulations via a presentation monitor and hands-on demonstration within the securities processing test environment.
Step 3: Learner Participation
Learners will engage and experience based on their length of service and processing systems utilized over specified years of service.
Step 4: Assessment: A written summary statement which demonstrates mastery of lesson competencies combined with 15 question knowledge assessment.
Step 5: Follow-Through Activities
Each attendee will be divided into break-out groups and respond during “open-question forum.”
Learners will describe core services and functions, identify securities eligible for comparison and netting, explain the netting and settlement process define and describe trade comparison and highlight risk management practices. Instructors must complete a lesson evaluation. (Appendix A)
"In teaching others we teach ourselves" - Proverb