Certified Securities Operations Professional (CSOP)

This DIXONTECH course prepares participants for the Certified Securities Operations Professional (CSOP) designation by equipping them with the technical, operational, and regulatory expertise required for excellence in securities processing and post trade operations. The program covers the full lifecycle of securities—from trade execution to settlement, custody, and compliance—ensuring participants gain both the theoretical foundation and the operational competence needed to manage securities activities efficiently in global financial markets.

TRAINING TOPICS

• Overview of global securities markets and instruments
• Trade lifecycle and post trade operations
• Clearing, settlement, and custody mechanisms
• Corporate actions processing and reconciliations
• Risk management and regulatory compliance
• Technology and automation in securities operations

BY THE END OF THIS TRAINING COURSE, DELEGATES WILL BE ABLE TO:

•   Understand the complete securities trade lifecycle
•   Execute and monitor clearing and settlement processes
•   Manage custody operations and reconciliations
•   Implement best practices in risk and control frameworks
•   Apply international regulatory and compliance standards
•   Analyze operational risks in securities transactions
•   Utilize automation tools in back-office operations
•   Prepare confidently for the CSOP certification exam

TRAINING IS TAILORED TO

•   Securities operations and back-office professionals
•   Investment operations and custody officers
•   Risk, compliance, and regulatory reporting staff
•   Middle office trade support professionals
•   Fund administrators and clearing specialists
•   Relationship managers and client service officers
•   Financial analysts and capital markets trainees
•   Professionals preparing for the CSOP certification

TRAINING METHODOLOGY

This DIXONTECH course blends conceptual learning with real world operational simulations. Through case studies, system walkthroughs, and process mapping exercises, participants will learn how securities are processed, reconciled, and settled globally. Interactive sessions with market examples (SWIFT, ISO 20022, CLS, and CSDs) prepare participants for hands on operational excellence and professional certification success.

DAY 1

GLOBAL SECURITIES MARKETS AND INSTRUMENTS

•   Overview of global financial markets and participants
•   Equity, debt, and hybrid instrument’s structure
•   Primary and secondary market operations
•   Market intermediaries: brokers, custodians, and depositories
•   Overview of exchanges, CSDs, and CCPs
•   Role of investment banks and custodians in trade support
•   Trade lifecycle: execution, confirmation, and allocation
•   Case study: from order execution to trade capture

DAY 2

TRADE LIFECYCLE AND POST TRADE PROCESSING

•   Trade capture and validation processes
•   Confirmation and affirmation workflows (SWIFT & FIX)
•   Matching and exception management systems
•   Settlement models (DVP, FOP, netting)
•   Trade fail management and settlement efficiency metrics
•   Corporate and government securities trade flows
•   Collateral management and margin requirements
•   Workshop: simulating trade lifecycle in operations system

DAY 3

CLEARING, SETTLEMENT, AND CUSTODY OPERATIONS

•   Clearing and settlement structures globally
•   Role of central counterparties (CCPs) and CSDs
•   Custody chain: global, local, and sub custody models
•   Securities lending and borrowing operations
•   Settlement risk (Herstatt and counterparty risks)
•   Corporate actions and entitlements processing
•   SWIFT messaging and ISO 20022 formats overview
•   Exercise: preparing a trade reconciliation statement

DAY 4

CORPORATE ACTIONS, RECONCILIATIONS, AND RISK CONTROL

•   Types of corporate actions: mandatory and voluntary
•   Dividend, coupon, merger, and rights issue processing
•   Cash and stock reconciliation principles
•   Position management and accounting implications
•   Operational risk management in securities operations
•   Internal controls and exception handling procedures
•   Reconciliation automation and break resolution
•   Case study: analyzing a failed reconciliation scenario

DAY 5

REGULATORY COMPLIANCE, TECHNOLOGY, AND CSOP EXAM PREPARATION

•   Global regulatory frameworks (MiFID II, CSDR, Dodd Frank)
•   Compliance standards and client asset protection (CASS)
•   Operational risk and capital adequacy (Basel III perspective)
•   Anti money laundering (AML) and KYC in securities operations
•   Technology innovations: blockchain, DLT, and fintech in post trade
•   Automation and AI in reconciliation and settlements
•   CSOP exam structure, format, and preparation strategies
•   Final assessment: developing an end-to-end securities workflow