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Business Operations

Performs activities associated with transaction management and understands the business operations performed by organizations within the financial services industry.

Critical Work Functions

  • Exercise appropriate techniques to gather client information.
    • Examine client's money management patterns to determine a client's financial situation.
      • Describe procedures necessary to execute financial transactions.
        • Use financial information to manage client records.
          Technical Content Areas

          • Transaction Management
            • Demonstrates the ability to process financial transactions without error.
            • Resolves cash discrepancies, and maintains accurate records of transactions.
            • Understands the principles of confidentiality as they relate to transaction management.
          • Financial Organizations
            • Understands the roles and activities provided by organizations within the financial services industry, including banks, investment banking, mortgage banking, insurance companies, and stock brokerages.