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Sharebroker Onboarding Checklist
Contents
Are you looking for help setting up a staff orientation process so that when your new Sharebroker 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 Finance onboarding experience or just need an onboarding checklist for your new Sharebroker, you’re in the right place. We’ve put together a sample Sharebroker onboarding checklist below and have created onboarding templates & resources to help.
1. Account Setup: The sharebroker’s first task is to set up their account with the new company. This involves providing personal information, completing necessary paperwork, and signing any required agreements. The task is typically performed by the HR department or an administrative staff member.
2. Introduction to Company Policies: The sharebroker needs to familiarize themselves with the company’s policies and procedures. This includes understanding the code of conduct, compliance regulations, and any specific guidelines related to their role. The task is usually performed by the HR department or a compliance officer.
3. IT Setup: The sharebroker needs to have their computer, software, and other necessary tools set up. This involves installing relevant software, configuring email and network access, and ensuring all systems are functioning properly. The IT department or a designated IT staff member typically performs this task.
4. Training on Trading Platforms: As a sharebroker, it is crucial to be proficient in using the company’s trading platforms. This task involves attending training sessions or workshops to learn how to navigate the platforms, execute trades, and access relevant market information. The training is usually conducted by experienced sharebrokers or the company’s training department.
5. Understanding Compliance and Regulatory Requirements: Sharebrokers must adhere to various compliance and regulatory requirements in the finance industry. This task involves attending compliance training sessions to understand the rules and regulations governing share trading, client confidentiality, and reporting obligations. Compliance officers or legal professionals within the company typically perform this task.
6. Shadowing Experienced Sharebrokers: To gain practical knowledge and insights into the role, the sharebroker may be assigned to shadow experienced colleagues. This task involves observing and learning from experienced sharebrokers as they interact with clients, execute trades, and analyze market trends. The task is typically coordinated by the team leader or a designated mentor.
7. Familiarization with Research and Analysis Tools: Sharebrokers rely on various research and analysis tools to make informed investment decisions. This task involves getting acquainted with the company’s research tools, financial databases, and market analysis software. The sharebroker may receive training from the company’s research team or designated experts.
8. Client Relationship Management: Building and maintaining strong relationships with clients is crucial for a sharebroker’s success. This task involves understanding the company’s client management system, learning how to effectively communicate with clients, and understanding their investment goals and risk tolerance. The sharebroker may receive guidance from the sales or relationship management team.
9. Understanding Company Products and Services: Sharebrokers need to have a comprehensive understanding of the company’s products and services to effectively advise clients. This task involves attending product training sessions, reading product documentation, and familiarizing oneself with the company’s investment offerings. The task is typically coordinated by the product management or sales team.
10. Compliance Testing and Certification: Sharebrokers are often required to pass compliance tests and obtain relevant certifications to ensure they are up to date with industry regulations. This task involves studying compliance materials, taking exams, and obtaining necessary certifications. Compliance officers or the HR department typically oversee this task.
11. Networking and Relationship Building: Sharebrokers often benefit from networking and building relationships within the industry. This task involves attending industry events, joining professional associations, and connecting with colleagues and clients. The sharebroker may receive guidance from the company’s marketing or business development team.
12. Performance Evaluation and Goal Setting: To track progress and set targets, the sharebroker needs to participate in performance evaluations and goal-setting sessions. This task involves meeting with the team leader or manager to discuss performance, receive feedback, and set goals for the upcoming period. The task is typically coordinated by the HR department or the sharebroker’s direct supervisor
Setting Up Your Employee Onboarding Process
From reading through the items in the example Sharebroker checklist above, you’ll now have an idea of how you can apply best practices to getting your new Sharebroker up to speed and working well in your Finance 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.
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