Banking/trading: operations management
Gespeichert in:
| Weitere Verfasser: | |
|---|---|
| Format: | Buch |
| Sprache: | English |
| Veröffentlicht: |
Basingstoke [u.a.]
Palgrave
2003
|
| Ausgabe: | 1. publ. |
| Schriftenreihe: | Finance and capital markets
|
| Schlagworte: | |
| Online-Zugang: | Inhaltsverzeichnis |
| Beschreibung: | Includes bibliographical references and index |
| Beschreibung: | XVII, 395 S. graph. Darst. |
| ISBN: | 140390460x |
Internformat
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| 245 | 1 | 0 | |a Banking/trading |b operations management |c ed. by Gerrit Jan van den Brink |
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Datensatz im Suchindex
| _version_ | 1804142371714105344 |
|---|---|
| adam_text | Contents
List of figures ix
List of tables xii
Contributors xiii
Acknowledgements xvii
Introduction 1
PARTI TRENDS IN OPERATIONS MANAGEMENT 5
1 From Data Entry to Process Control 7
Gerrit Jan van den Brink
1. Introduction 7
2. What benefits can be achieved? 8
3. What prerequisites need to be fulfilled? 19
4. Critical success factors to be considered 30
5. Creating the business case 33
6. A practical example of a transformation 43
7. Conclusion 56
2 Outsourcing the Next Stage 59
Thomas von Lingen
1. Consolidation and decomposition of the value chain:
the strategic dimension 59
2. Outsourcing: topics, models, management principles 63
3 Processing and the Internet: Implications for the
BackOffice 81
Han Gerrits
1. Introduction 81
II
2. The impact of the Internet on financial services 82
3. External perspective: customer processes 87
4. Internal perspective: business processes 89
5. Organization of the virtual back office 91
6. Conclusion 93
4 Operational Risk Management: The Core Risk for the
Operations Manager 95
Gerrit Jan van den Brink
1. Introduction 95
2. Definitions and dimensions 96
3. Regulatory environment 106
4. Management alternatives 115
5. Control instruments for operational risk 120
6. Economic capital calculation and cost allocation 128
5 E-commerce: Remember the Pitfalls 135
Gerrit Jan van den Brink
1. Introduction 135
2. Know your enemy: threats and vulnerable points 137
3. Elements determining availability 140
4. Selection of IT security components 140
5. People: where IT security starts 142
6. How can IT security issues be detected? 143
7. Conclusion 144
PART II ORGANIZATION AND MANAGEMENT 145
6 Leadership versus Management? 147
Urs P. Rauser
1. Manager or leader? 147
2. Are charismatic leaders also good managers? 147
3. Leadership means creating the right atmosphere 148
4. Clap golden handcuffs on your employees, if they
are good! 150
5. Are leaders born or made? 151
6. Personal leadership effects 153
7 Business Process Redesign 155
Han Gerrits
1. The main ideas of BPR 155
2. Approach 160
3. Conclusion 178
8 Project Management: Lessons Learned from IT Projects 181
Steef Peters
1. Introduction 181
2. What is a project? 182
3. Project management framework 188
4. Why do projects fail? 207
5. Case studies 211
6. Success 216
9 Cost Accounting in the Operations Area 217
Gerrit Jan van den Brink
1. Introduction 217
2. Cost accounting issues 219
3. Transfer pricing in a capital-intensive environment 222
4. An example: cost per unit calculation for payments 224
5. Cost accounting and cross-subsidizing 227
PART III LEADING PRACTICE 229
10 Collateral Management 231
Robert Kiacsek
1. Introduction 231
2. Credit risk 237
3. Organizational framework 245
4. Starting a collateralized trading relationship 247
5. The daily process of margining 251
6. Legal environment 258
Appendix: some collateral terms 268
11 OP Risk in Payments 273
Armin Gerhardt, Martin Didunyk, Peter Schneider and
Dieter Martin
1. Introduction 273
2. Risk analysis: where the operational risk lies in
payments 283
3. Measures to mitigate risk 289
4. Stable service quality 291
5. Can increased automation and STP reduce errors? 291
6. Central matching 293
7. Continuous improvement to maintain processing
quality levels 294
8. Quality management 294
9. Outsourcing: the solution for all problems? 308
10. Handling of the payment factory: possibilities for
capital reduction 310
12 Information Technology for Operations Managers 315
Ekkehard Weiler
1. Introduction 315
2. IT operations: the kernel 316
3. IT operations: the enabler 320
4. IT operations: enabling methods 323
5. IT operations: guidance 341
6. IT operations: last but not least 362
73 Management Information for Operations Managers 369
Gerrit Jan van den Brink
1. Introduction 369
2. Management cycle in operations management 370
3. Management information supporting the management
process 372
4. A management report example 379
Index 391
List of figures
1.1 Simplified overview of a domestic security transaction via
the Internet 9
1.2 Traditional workflow for exchanged traded instruments 11
1.3 Improved workflow with interfaces 12
1.4 Profit deterioration over time 13
1.5 Control of the availability of systems 16
1.6 Control application to check the timeliness of the
processing 18
1.7 Prerequisites 29
1.8 Scenario analysis 34
1.9 Pre-change situation 45
1.10 Structured transaction 49
1.11 Post-change situation 55
2.1 M Aroadmap 62
2.2 Outsourcing roadmap 65
2.3 Generic value chain of banking industry 71
2.4 Evolution of outsourcing 74
3.1 Process types 87
4.1 Causes of operational risk 98
4.2 Operational risk in context 105
4.3 Relationship between causes, events and effects 106
4.4 Approaches to the regulatory capital charge for
operational risk 107
4.5 The scorecard approach of Dresdner Bank 113
4.6 Qualifying criteria for the use of advanced measurement
approaches 114
4.7 Sound practices on management and supervision of
operational risk 115
4.8 Alternatives for operational risk management 116
4.9 Toolkit with risk mitigating measures 117
4.10 The four dimensions of operational risk information 121
4.11 Process mapping 122
4.12 Human capital: causal factors 124
4.13 Loss report: causes 127
4.14 Self-assessment: management report 128
4.15 Basic economic capital 129
4.16 The Monte Carlo simulation 131
4.17 Aggregation method I: fully diversified 132
4.18 Aggregation method II: undiversified 132
5.1 Simplified communication chain 137
7.1 Decomposition 168
7.2 Process model example 169
7.3 Design process 172
7.4 Redefinition of tasks 175
7.5 Restructuring data supply 177
8.1 The use of capacity during the lifetime of a project 193
8.2 Responsibility matrix 201
9.1 Activity-based costing 219
9.2 ABC variant for financial institutions 225
10.1 Increasing credit risk 234
10.2 Credit enhancement facilities 237
10.3 Exposure profile of a swap 239
10.4 Exposure profile of a collateralized swap 240
10.5 The impact of collateral on credit exposure 242
10.6 Interaction during the legal negotiation of a collateral
agreement 251
10.7 Data flow diagram 255
10.8 Netting example 259
11.1 Backup and more 302
11.2 Simplified example of a risk matrix 305
11.3 Example: Scenario IS - client PC in department not
available 306
11.4 Schematic handling in five levels/steps 311
11.5 The payment factory 313
12.1 IT tasks in relation to market and company scenarios 317
12.2 Generic IT process model 318
12.3 Waterfall model 325
12.4 V-model 326
12.5 Phases and workflows of RUP 328
12.6 Components of the risk category systems 333
12.7 Workflow details 334
12.8 People and roles 335
12.9 Roles, activity and artefact 336
12.10 Processing payment orders 337
12.11 Product creation process 341
12.12 Change control process 353
12.13 RFC document 356
12.14 Crisis management team structure 359
12.15 Service level reporting 361
12.16 Recruitment process 364
12.17 Performance appraisal 366
13.1 Management cycle 370
13.2 Cost-benefit analysis 378
13.3 Transaction volumes 382
13.4 Quality rates 383
13.5 Customer complaints 385
13.6 Risk report 385
13.7 Staff sickness rates 386
13.8 Self-assessment quantitative report 386
13.9 Self-assessment quality report 387
13.10 Losses in euros per cause 387
13.11 Risk capital 389
List of tables
1.1 Business case calculation in the case of a process change 36
4.1 Systems risk: risk category versus types of system risk 100
4.2 Business lines and 8-factors as presented by the Basel
Committee for Supervision 109
4.3 Risk types according to the Basel Committee 111
5.1 Risk matrix 139
10.1 Comparison of collateral techniques 233
10.2 Overall exposure of Bank A to Bank B 244
11.1 Forms used by Deutsche Post 275
11.2 Coordination of a Landeszentralbank (LZB) account 277
12.1 Details of processing payment orders 339
13.1 Profit and loss account 379
13.2 Project report 380
13.3 Budget versus actual 380
13.4 Quality assessments 381
13.5 Transaction volumes 382
13.6 Throughput analysis 383
13.7 Cost per unit analysis 384
13.8 Audit reports 388
13.9 Risk capital 389
13.10 Business contingency 389
13.11 Actions to be followed up by operations management
meeting 390
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| title | Banking/trading operations management |
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