This indepth program is offered as a four (4) day course and examines the important aspects of Securities Process of Trading/Settlement/Operations/Products and Regulatory supervision. Participants go step-by-step through the process from the time of order entry through to trade processing and settlement and to reconciliation, firm reporting and regulatory reporting. The course also includes the process after the settlement of the trade, such as debt servicing and corporate actions. The operation process is taught from the perspective of both the client and street side.

 

All course materials are provided. Upon confirmation of registration, the student will receive a free one-year subscription to Investment Executive, Canada's Newspaper for Financial Advisors.

Note:  Location of classes will be confirmed closer to the date of the course.

The Smarten Up Institute is pleased that Andrée Ouellet (CA, CA-IT) is an instructor for the Operations Course as she brings insight and multiple talents to the role. Her accomplishments attest to her unique ability to understand the foundations of any issue while her insatiable curiosity to understand how things work forces her to constantly seek better and easier ways to address them. 

 

She obtained her B.A.A. at l’École des Hautes Études Commerciales and her M.B.A. at McGill University, Québèc. She is presently pursuing her ETS Master in IT Engineering, a further testament of her need to better understand the world around her. 

 

Andrée’s background includes:

 Her technical insights have led to the reprocess and redesign of

While her background speaks of excellence in industry experience, it is her ‘soft skills’ that make her a unique and highly regarded individual and consummate instructor/mentor.

 

Whilst in her roles, her executive management of and initiatives in the many systems conversions (Bond Trading/Risk Management/Accounting Systems/Operations and Trading Systems, including Dataphile, Broadridge and IBM) have been crucial to their successful outcomes.

 

However, Andrée’s uniqueness does not come from her practical abilities, which she has in abundance due to her ‘hands on’ approach to business, but rather from her insights into the financial business and her keen understanding of how it is to be conducted. Instruction, to Andrée, is not merely a function or role that is to be performed as a matter of fact. She is an ‘actor’ performing her greatest role and instils humour, drama and lively story telling into the mix. The student learns by example, direct experience and a sense of understanding that is only able to be imparted by instructors that have excellent credentials and keen knowledge of the subject they are teaching. She has instructed at many Investment Dealers and enjoys ‘her acting roles’ tremendously.

Of course, the fact that the student immediately understands that Andrée’s grasp of Accounting, Finance, Operations and Technology, as well as the Financial Industry in general, is excellent, allows them to feel they are in capable and knowing hands.
 

Persons that should register for this course are:

No advance preparation is required.

The benefit to the student is:

Course Code: OPC01

$3,475.00

$2,775.00