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Course List
Introduction to the Securities Industry
 
Introduction to the Securities Industry
How the Securities Industry Works
Introduction to U.S. Securities Processing
Introduction to Buy Side Securities Processing
Straight Through Processing (STP)
Fundamentals of Securities Income
Securities Industry Principles
Introduction to Investment Management
Securities Lending and Borrowing : An Operations Perspective
Securities Industry Basics and Trends
International Issues
 
International Securities Operations
International Portfolio Accounting: Basic Level
International Portfolio Accounting: Intermediate Level
Withholding Tax Relief Worldwide
Foreign Currency: Markets, Clearance, Settlement & Accounting
Internet and Technologies
 
Information Security for Banking & Brokerage Professionals
XML and STP - The Trading Life Cycle in a T+1 Environment
Corporate Actions
 
Corporate Actions Processing: Basic Level
Corporate Actions Processing: Advanced Level
Global Corporate Actions Processing: Basic Level
Global Corporate Actions Processing: Advanced Level
Capital Markets
 
Capital Markets Overview
Capital Market Economics
Portfolio Management
 
Portfolio Management
Securities Analysis
Managing Risk
 
Risk in a Global Market - Management and Operational Challenges in 2010
Managing Operational Risk
Understanding and Managing Classic and Systemic Risks
Financial Management
 
Introduction to Supervision for Financial Services Professionals
Challenges in Supervision for Financial Services Professionals
Client Service and Building Client Loyalty for Financial Service Professionals
Introduction to Management for Financial Services Professionals
Financial Accounting and Financial Mathematics
Financial Statement Analysis
Fixed Income Securities
 
Bond Math: Mathematics of the Fixed Income Market
Fixed Income Trading and Processing
Structured Securities: MBS, ABS, CDOs
Introduction to Fixed Income Products
Accounting for Fixed Income Securities and Derivatives
Mortgage-Backed Securities
Collateralized Debt Obligations and Credit Default Swaps (CDOs and CDS)
Accounting, Regulatory & Management
 
Brokerage Accounting and Regulations
Stock Brokerage Accounting & Securities Regulations
Introduction to Margin
Introduction to Private Equity Markets
Blitz Accounting
IT Project Management for Financial Services Professionals
Financial Reform 2010 - The Dodd-Frank Wall Street Reform and Consumer Protection Act
Derivatives
 
Introduction to Derivative Products
Derivatives: Markets, Operations, Accounting & Control
Derivatives and Hedge Accounting
Interest Rate Futures and Swaps
Introduction to Options: Products, Trading & Processing
Swaps Processing
Equity Options: Strategies, Risks and Rewards: Basic Level
Equity Options: Strategies, Risks and Rewards: Intermediate Level
Mutual Funds
 
Introduction to Mutual Funds
Mutual Fund Operations

Course Description
Introduction to Supervision for Financial Services Professionals
Available Dates:
Course Code: 311
Duration: 1 day
Level: Basic
Fee: $795.00
CPE Credits: 7
Prerequisite: No Prerequisite Required

This one-day workshop is designed for new supervisors and those who assumed the position of supervisor with little or no supervisory training; it emphasizes the difference between the role of line worker and the responsibilities that go with getting results through others, and outlines best practices in their on-the-job application

The workshop begins with an introduction of the tools available to supervisors and their application in both classroom problems and real life situations and the responsibilities issues and challenges most supervisors face. Learning is facilitated through short lectures, discussion, problems, cases, and simulation.  Participants are urged to bring real life problems and issues to the workshop.

 

Introduction

  • The Role and  Responsibility of Supervisor
  • Defining Success in Your Job
Tools for Supervision
  • The Best Possible You
  • Mission and Values
  • Importance of the Work Environment
  • Goal Setting and Getting
  • Leadership
  • Motivation: Us and Them
  • Effective Communication
  • Making the Most of Your Time
Supervisory Responsibilities and Challenges
  • Managing Conflict
  • Administering Discipline
  • Span of Control
  • Feedback and Constructive Criticism
  • Providing Recognition
  • Problem Solving
  • Developing Your People
  • Administering Performance Appraisal
  • Dealing with Unacceptable Behavior
At the conclusion of this workshop, the participants should be able to:
  • Describe and define what they must do to succeed in their role as supervisor
  • Select, describe and apply the tools of supervision to special supervisory problems
  • More effectively carry out their responsibilities as supervisor
  • Advance their careers

 

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