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Investment Operations Technician

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

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What is the background to this programme?

This role typically sits within the Operations areas of stock exchanges, stockbrokers, investment managers, banks, financial advice and wealth management firms, and investment consulting and investment administration businesses. The majority of work at this level would be non-complex but requiring high standards of accuracy, proficiency and responsibility. Typical activities that may be carried out by a fully competent employee include, but are not limited to: investment transaction matching, confirmation and settlement, portfolio valuation, portfolio cash reconciliation and management, corporate actions processing, preparation of internal and client investment reports, processing significant changes to portfolios as instructed by clients or their authorised agents.

What qualification is achieved?

The apprentice will complete the Chartered Institute of Securities and Investments (CISI) Investments Operations Certificate, as part of the apprenticeship. Completion of the Investment Operations Certificate enables the apprentice to apply for Associate Member status in the CISI.

This apprenticeship can either be an entry level role, or a progression from a lower level, building on the knowledge and skills gained previously. On completion, the employee will be fully competent in the role and this will form the foundation of a career in the sector and the opportunity to start to specialise in a particular area such as ISA Administration, Global Custody, and Settlements. There are a range of options beyond this apprenticeship including the Level 4 Trailblazer apprenticeship if appropriate for the employer, and separately, there are a range of qualifications available for further study up to degree level.

What is covered?

  • Understanding of industry and company
  • Regulatory and compliance
  • Products
  • Systems and processes
  • Client service and relationships
  • Service delivery
  • Communication, team work and collaboration
  • Communication skills




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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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