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Investment Operations Specialist

Investment Operations Specialists work within the operational and administrative areas of businesses in the Financial Services sector that engage in investment management, investment consulting, trading and reporting activities.

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What is the background to this programme?

This apprenticeship is most likely to be a progression from a lower level apprenticeship, building on previously acquired knowledge and skills. On completion, the apprentice will be fully competent in the role and this will enable them to decide how they might wish to progress further into organisation- specific career options. The range of available qualifications also provides routes into specific areas of the business. This could include careers in Investment Analysis, Management and Administration roles; Risk Controller, Manager or Modeller; dealing and/or advising in Securities, Derivatives or Packaged Products.

What qualification is achieved?

The apprentice will complete an appropriate qualification/examination (whichever considered most relevant by the employer) from one of the following Professional Bodies:

  • Chartered Institute of Securities and Investment – Investment Operations Certificate; Certificate in Investment Management; Investment Advice Diploma; Managing Operational Risk in Financial Institution.
  • CFA Institute / CFA UK – Investment Management Certificate

Completion of one of the qualifications listed will enable the apprentice to apply for membership of the relevant professional body.

What is covered?

  • Understanding of industry and company
  • Regulatory and compliance
  • Products
  • Systems and processes
  • Client service and relationships
  • Service delivery
  • Communicating and influencing
  • Team working and collaboration
  • Ownership and initiative
  • Personal development






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What are the entry requirements?

Apprentices without level 2 English and maths will need to achieve this level prior to taking the End-Point Assessment. For those with an education, health and care plan or a legacy statement, the apprenticeship’s English and maths minimum requirement is Entry Level 3. A British Sign Language (BSL) qualification is an alternative to the English qualification for those whose primary language is BSL.

What are our previous attendees saying? 

“I wholeheartedly recommend Davies Learning Solutions, my learning journey has been clear and supported and I passed first time – thank you!”

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