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Apprenticeship

Investment operations specialist (level 4)

There are 14 training providers who offer this course. Check if a training provider can deliver this training in the learner's work location.

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Information about Investment operations specialist (level 4)

Carrying out investment transactions on behalf of individuals or organisations.

Knowledge, skills and behaviours
View knowledge, skills and behaviours

Knowledge

  • The financial services industry, the role and purpose of markets, and the process of investing relevant to their role.
  • The function in which they work; how this role relates to other functions within their department, the wider business, and the broader investment markets.
  • The investment lifecycle, including trade processing, settlement, reconciliation, corporate actions, and custody.
  • The organisation's aims, objectives, and how the investment operations function contributes to them.
  • UK financial regulations and legislation, including the industry regulators, for example, the Financial Conduct Authority (FCA) or the Prudential Regulation Authority (PRA), Consumer Duty, Client Assets Sourcebook (CASS) rules, anti-money laundering (AML) regulations, and data protection laws relevant to the investment role.
  • Organisational policies and procedures related to compliance, risk management, breach reporting, and fraud prevention, how to identify and communicate risk and evidence of non-compliance, and the importance of accurate record keeping.
  • The technical, investment, and settlement characteristics of the main investment products, instruments, currencies, and markets, for example, warrants, bonds, and contracts for difference.
  • The investment products and or services within their own organisation, as well as competitor products and or services available in the market, relevant to their role.
  • Data analysis techniques and how to interpret and communicate role-related data effectively in different formats, for example, reviewing spreadsheets, identifying trends or anomalies, and supporting wider analysis efforts through data gathering and formatting.
  • The different types of internal and external stakeholders, for example, human resources, finance, tax, compliance, and risk teams, regulators, and third-party service providers, their position in the market, and the importance of building positive relationships.
  • Communication techniques, channels, methods, and strategies, including professional, effective, and influential communication, and the importance of adapting communication style to facilitate understanding for both financial and non-financial stakeholders.
  • Current data legislation, cybersecurity regulations, and organisational policies for the compliant handling of data and for working securely online.
  • Investment operations systems, digital tools, and technologies relevant to their role, for example, wealth management platforms, settlement systems, data analytics tools, cybersecurity protocols, automated straight-through processing systems and an awareness of the potential, and safe and responsible use, of generative AI in analytics.
  • Current and developing sustainability principles within investment or financial services, their products, and working practices relevant to the role.
  • Principles and policies of equality, diversity, and inclusion (EDI) and their impact on the organisation and stakeholders relevant to their organisation.

Skills

  • Investigate, analyse, and resolve investment-related queries or operational issues, for example, completion of Anti-Money Laundering (AML) documentation, dealing with vulnerable customer cases, and in-specie transfers in accordance with regulatory and operational requirements.
  • Provide operational or administrative support to individuals or teams within the area of investment, for example, preparing and delivering stakeholder reports, analysing and investigating monthly attestation reports, and preparing and uploading tax year valuations.
  • Work autonomously and take ownership of work and potential investment-related problems within their area, for example, monitoring the progress of assigned cases to achieve optimal outcomes for stakeholders.
  • Identify and communicate potential risk and or incidences of non-compliance, escalating where appropriate.
  • Maintain accurate and up-to-date information in relevant systems, ensuring compliance with regulations, policies, and governance requirements.
  • Meet internal and external Service Level Agreements (SLAs) by following structured processes accurately and efficiently.
  • Analyse processes, appraise strengths and weaknesses, identify areas for continuous improvement through analysis of operational data, feedback, or process performance, and recommend appropriate changes to enhance efficiency or quality.
  • Build and maintain professional, collaborative relationships with stakeholders.
  • Communicate with stakeholders using methods appropriate for the intended audience, in line with organisational expectations, including verbal, written, digital, and virtual methods.
  • Support or mentor colleagues, act as an escalation point, and contribute to team and wider organisational aims and objectives.
  • Comply with current data legislation, cybersecurity regulations, and organisational policies, including when managing and storing client data safely and securely.
  • Use systems, digital tools, and technologies relevant to their role and workplace, ensuring this is done safely and securely, for example, Certificateless Registry for Electronic Share Transfer (CREST), customer management systems, data reconciliation and validation systems, and transfer systems.
  • Apply current and developing sustainability principles and working practices relevant to their business area.
  • Apply principles of equality, diversity, and inclusion (EDI) policy, for example, the application of Consumer Duty principles, dealing with vulnerable customers appropriately, and using inclusive language.

Behaviours

  • Acts professionally, ethically, and with integrity.
  • Maintains confidentiality and acts with due care and diligence.
  • Works flexibly and adapts to changing circumstances, including overcoming challenges and responding to setbacks.
  • Displays a growth mindset and uses own initiative, learning from failures and spotting opportunities.
  • Reflects on own practice and seeks learning opportunities for Continuing Professional Development (CPD).
  • Takes responsibility for their actions and is accountable for their own work and managing workload.
Training category (sector)
Legal, finance and accounting
Training level
4
Equal to higher national certificate (HNC)
Course duration
18 months
Maximum funding
£9,000
Maximum government funding for
apprenticeship training and assessment costs.
Job titles include
  • Finance worker

View more information about Investment operations specialist (level 4) from Skills England.