Capability Diagnostic
Determine what your brokerage team can safely own.
The Brokerage Capability Diagnostic assesses operational judgement through realistic cases, then converts the evidence into individual deployment guidance and a management view of team capability, supervision dependency and control exposure.
01 — AUDIENCE
Who it is for
- Brokerages that have grown faster than their operating knowledge
- Teams dependent on one or two senior specialists
- Managers preparing junior operators for broader first-pass ownership
- Firms changing platforms, bridges, liquidity arrangements or reporting architecture
- Leaders who need evidence before expanding authority or reducing supervision
02 — COMPONENTS
What the Diagnostic Contains
| Three timed operational scenarios | Observed evidence of judgement across execution, exposure, reconciliation, P&L or account-behaviour cases |
|---|---|
| Structured assessor review | Competency ratings, progression gates and critical-failure checks |
| Individual capability report | Capability level, authority boundaries, supervision needs and development priorities |
| Team capability view | Concentration, dependency and common control weaknesses |
| Management findings session | Deployment implications, priority actions and reassessment decision |
03 — OUTCOMES
Capability Outcomes
| Developing | Requires structured instruction and close supervision; not ready for material first-pass ownership. |
|---|---|
| Supervised Operator | Can complete defined tasks with active review and clear escalation boundaries. |
| Controlled First-Pass Operator | Can own agreed first-pass workflows within documented limits and retained approval gates. |
| Independent Operator | Demonstrates consistent, evidence-based judgement across assessed cases; authority remains subject to firm governance. |
04 — PROCESS
Process
- Scoping discussion covering the firm, team and operating environment.
- Participant briefing and controlled assessment delivery.
- Independent scoring and assessor calibration.
- Individual and team reporting.
- Management findings and recommended next actions.
Indicative pilot format: Small-team diagnostic, normally delivered remotely. Scope, timing and price are confirmed after the scoping discussion.