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ACI-SMU Executive Certificate in Financial Markets Operations (IBF Level 1)

Curriculum

Module 1: Financial Services Industry Overview 

  • Functions, products and services of key participants
  • Competitive landscape and interrelationship across market segments
  • Emerging industry trends and impact on competitive landscape

Module 2: T&O Risk Management & Regulatory Overview 

  • Basic principles of governance for financial institutions
  • Enterprise risk management concepts relevant to T&O
  • Tools for controls and risk mitigation
  • Regulatory overview for T&O

Module 3: Core Technology Concepts in Banking T&O 

  • Organizational structure for banking T&O
  • Core concepts of technology
  • Framework for project and quality management of product and system development life cycle
  • Key concepts of data and system management
  • Performance measures and management 

Module 4: Principles of Finance & Accounting 

  • Basic concepts of accounting
  • Purpose and content of key financial statements
  • Financial management and accounting concepts relevant to financial institutions
  • Types of funding arrangements for financial institutions

Module 5: Transaction flow and booking cycle 

  • Accounting entries for financial transactions
  • Operational controls for proper record keeping  and financial reporting
  • Triggers for escalation and exception management

Module 6: Financial Markets Deal Processing & Settlement 

  • Organizational structure of investment banks
  • Functions and responsibilities of operations
  • Role of operations in client servicing
  • Deal processing cycle

Module 7: Transaction Processing – Cash & Securities Products 

  • Characteristics of cash settlement products
  • Transaction processing and settlement flow for cash products
  • Processing of corporate actions
  • Critical controls in processing cash transactions

Module 8: Transaction Processing – Derivatives 

  • Differentiate exchange-traded derivatives (ETD) and over-the-counter (OTC) derivatives 
  • Transaction processing flow for ETD and OTC derivatives
  • Documentation requirements for OTC transactions
  • Critical controls in processing derivative transactions
  • Reporting requirements for OTC derivatives

 

Last updated on 29 Jan 2018 .