Brokerage Purchase-And-Sale Clerk Onboarding Checklist

Brokerage Purchase-And-Sale Clerk Onboarding Process

Are you looking for help setting up a staff orientation process so that when your new Brokerage Purchase-And-Sale Clerk starts their role, they can learn about their responsibilities and your company as quickly as possible? Whether you’re keen to use buddy onboarding, want to automate your Clerical onboarding experience or just need an onboarding checklist for your new Brokerage Purchase-And-Sale Clerk, you’re in the right place. We’ve put together a sample Brokerage Purchase-And-Sale Clerk onboarding checklist below and have created onboarding templates & resources to help.

Brokerage Purchase-And-Sale Clerk Onboarding Checklist

1. Introduction to company policies and procedures: The brokerage purchase-and-sale clerk should receive a comprehensive overview of the company’s policies and procedures. This includes understanding the code of conduct, dress code, attendance policy, and any other guidelines that govern their behavior within the organization. The human resources department or a designated supervisor typically performs this task.

2. Familiarization with company culture: It is essential for the brokerage purchase-and-sale clerk to understand the company’s culture and values. This task involves introducing the new employee to the company’s mission, vision, and core values. It may also include providing information about the company’s history, achievements, and future goals. The human resources department or a designated supervisor usually handles this task.

3. Introduction to team members and key stakeholders: The brokerage purchase-and-sale clerk should be introduced to their immediate team members, as well as other key stakeholders within the organization. This task helps the new employee establish relationships, understand reporting lines, and identify individuals they may need to collaborate with in their role. The supervisor or team lead typically performs this task.

4. Training on brokerage software and systems: As a brokerage purchase-and-sale clerk, it is crucial to be proficient in the software and systems used within the industry. This task involves providing comprehensive training on the brokerage’s specific software, databases, and other tools necessary for the role. The training may be conducted by the IT department, a designated trainer, or a senior colleague.

5. Understanding the brokerage’s products and services: The new brokerage purchase-and-sale clerk should receive detailed information about the products and services offered by the company. This task includes learning about the different types of investments, securities, and financial instruments the brokerage deals with. The task may be performed by a senior colleague, a designated trainer, or the supervisor.

6. Learning the brokerage’s compliance and regulatory requirements: Compliance with industry regulations is crucial for a brokerage purchase-and-sale clerk. This task involves familiarizing the new employee with the specific compliance and regulatory requirements that govern their role. It may include training on anti-money laundering measures, know-your-customer procedures, and other legal obligations. The compliance department or a designated compliance officer typically handles this task.

7. Shadowing experienced colleagues: To gain practical knowledge and understand the day-to-day responsibilities, the new brokerage purchase-and-sale clerk should have the opportunity to shadow experienced colleagues. This task allows the employee to observe and learn from experienced professionals, understand workflows, and gain insights into best practices. The supervisor or a designated mentor typically arranges and oversees this task.

8. Reviewing and understanding documentation processes: The brokerage purchase-and-sale clerk should be familiarized with the documentation processes involved in their role. This task includes understanding how to handle client paperwork, fill out forms accurately, and maintain proper records. The supervisor or a designated trainer typically provides guidance and training on this task.

9. Learning about client relationship management: Building and maintaining strong client relationships is crucial in the brokerage industry. This task involves learning about the brokerage’s client relationship management (CRM) system, understanding how to update client information, and learning effective communication techniques. The supervisor or a designated trainer typically provides training on this task.

10. Understanding the brokerage’s reporting and administrative tasks: The brokerage purchase-and-sale clerk should be trained on the reporting and administrative tasks they are responsible for. This task includes learning how to generate reports, maintain accurate records, and perform administrative duties such as scheduling appointments and managing correspondence. The supervisor or a designated trainer typically provides training on this task

Setting Up Your Employee Onboarding Process

From reading through the items in the example Brokerage Purchase-And-Sale Clerk checklist above, you’ll now have an idea of how you can apply best practices to getting your new Brokerage Purchase-And-Sale Clerk up to speed and working well in your Clerical team. Scroll up to see the link to our onboarding templates & resources or get in touch to discuss getting help setting up your systems and processes in this area.