Stage 1
Scope call and document request list
Internal Controls Assessment for Trading Offices
A structured review of how trade tickets, settlement trails, and approval chains actually work on your desk — with a written findings pack your managers can act on.
Who it is for
Proprietary trading firms, brokerage branch offices, and mid-size dealing rooms that need clarity on control gaps before an internal audit or regulator visit.
What you walk away with
A plain-language controls map, prioritized findings, and a 90-day remediation plan tied to named owners on your floor.
Provider
Led by a System Branchcore engagement partner with trading-office control experience in Taiwan(China).
Preparation
Provide recent organization charts, policy binders, sample blotters (redacted as needed), and access to two control owners for interviews.
Included
- Walk-through of order capture, confirmation, and settlement handoffs
- Sampling of recent trade blotters and exception logs
- Interviews with desk heads, middle-office, and compliance officers
- Written assessment with severity ratings and evidence notes
- Remediation workshop with your control owners
Outside this engagement
- Full statutory audit or assurance opinion
- Software implementation or system configuration
- Legal representation before regulators
How the work unfolds
Stage 2
On-floor observation and sample testing
Stage 3
Draft findings for factual check
Stage 4
Final report and remediation workshop
Constraints
We work under a confidentiality letter. Findings are advisory and do not replace your licensed auditor.