Job description for a specialist-organizer of trade in the securities market

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Job description for a specialist organizer of trading on the securities market. Full document

Occupational Safety and Health

Occupational Safety and Health / Job descriptions

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I. General Provisions

The specialist organizer of trading on the securities market is directly subordinate to _______.
The specialist organizer of trading on the securities market follows the instructions of _______.
The specialist-organizer of trade in the securities market replaces _______.
The specialist organizer of trading on the securities market is replaced by _______.
Must know:

laws, regulations of Ukraine and international standards on issues related to the professional field of activity;
documents regulating activities related to organizing trading in securities;
documents regulating the operation of the stock exchange and trading information system;
content and technology of trade organization operations;
features of the organization of trade in various types of financial instruments;
documents regulating the procedure for concluding transactions for the purchase and sale of securities on stock exchanges and in the trading information system;
rules and other regulatory documents of the stock exchange and trading information system;
bases of professional ethics and social psychology;
procedures for resolving disputes between trade participants between trade participants and their clients, between the trade organizer and trade participants;
basics of labor organization and management;
rules and regulations of labor protection.

Qualification requirements:

Specialist organizer of trading in the securities market of category I: complete or basic higher education in the relevant field of training (specialist or bachelor). Work experience as a specialist-organizer of trading in the securities market of category II: for a specialist - at least 1 year, for a bachelor - at least 2 years. Availability of a qualification certificate as a specialist in stock market issues.
Specialist-organizer of trading in the securities market, category II: complete or basic higher education in the relevant field of training (specialist or bachelor): for a specialist - no work experience requirements, bachelor - work experience in the profession of specialist-organizer of trading in the securities market - no less than 1 year. Availability of a qualification certificate as a specialist in stock market issues.
Specialist-organizer of trading on the securities market: higher professional (technical). No work experience requirements.

II. Official duties

Specialist-organizer of trading in the securities market:

Organizes trading in securities and derivative securities on a stock exchange or trading in a trading information system, including using the means of an electronic trading information network.
Participates in the preparation of documents regulating the work of the trade organizer and determine the procedure for interaction of the stock exchange with its members and the trading information system with its participants (rules and other regulatory documents of the trade organizer, contract specifications, sample contracts, etc.).
Reviews documents for admission of securities to sale on a stock exchange or in a trading information system.
Conducts an examination of the compliance of indicators of the financial and economic condition of issuers and their securities with the established requirements for admission of securities to quotation on a stock exchange or in a trading information system.
Prepares appropriate proposals for making a decision on the admission of securities to quotation, suspension, withdrawal and updating of quotation.
Participates in the organization and conduct of both electronic and voice auctions.
When conducting electronic trading, he can perform the work of a trading administrator or supervisor, trading “by voice” - a trading leader, supervisor or specialist in registering orders and processing transactions.
If the functions of supervision are performed, he can perform the work of an analyst, whose functions include conducting a financial analysis of the activities of a member of the stock exchange, its operations on the market, preparing reports, conclusions and recommendations based on the results of the analysis.
Monitors the activities of stock exchange members and issuers whose securities have undergone the listing procedure.
Reviews documents on registration of a brokerage office on the stock exchange or a participant in the trading information system and prepares appropriate proposals for making decisions on the registration (opening) of a brokerage office on the stock exchange or participant in the trading information system, suspension, termination and resumption of the activities of the brokerage office on the exchange or participation in the trading information system, admission of authorized persons (brokers / dealers) to conduct transactions for the purchase and sale of securities at the trade organizer, maintains their registration and accounting.
Draws up and takes into account documents that are used when concluding agreements and contracts for the purchase and sale of securities.
Monitors the implementation of concluded agreements and settlement of concluded transactions on the “delivery versus payment” principle.
Ensures interaction and exchange of information with the selected settlement institution, depository for clearing and settlement of concluded transactions for the purchase and sale of securities.

III. Rights

The specialist-organizer of trading in the securities market has the right to:

Get acquainted with the draft decisions of the management of the enterprise regarding its activities.
Participate in the discussion of issues related to the performance of his duties.
Make suggestions for improving the work related to the provisions of this instruction.
Within the limits of his competence, inform his immediate supervisor about all those identified in the course of his activities, and make proposals for their elimination.
Require the management of the enterprise to assist in the performance of their duties.

IV. A responsibility

The specialist-organizer of trading in the securities market is responsible

For improper performance or non-performance of their official duties, as well as for non-use or directly to their rights provided for by this Job Description - to the extent determined by the current legislation of Ukraine.
For offenses committed in the course of carrying out their activities - within the limits determined by the current administrative, criminal and civil legislation of Ukraine.
For causing material damage - within the limits determined by the current labor legislation on labor of Ukraine.

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