Apprenticeship training course

Investment operations specialist (level 4)

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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

  • Sound understanding of the structure of the Financial Services industry and in particular the role and purpose of markets and the process of investing; the role of the function in which they work; how this role relates to other functions within their department and to the wider business. Deeper knowledge of specific markets and supporting operational protocols as required by the employing organisation.
  • Sound understanding of the Financial Services regulatory framework and ethics, and the ability to apply relevant rules and principles to their own role and within their team. Able to identify and communicate risks to the relevant management or compliance personnel within the organisation.
  • Sound understanding of the technical, investment and settlement characteristics of the main investment products, instruments, currencies and markets, including derivative instruments and complex products. Understands how an investment instrument or product is typically used within the industry and how it may meet specified client objectives.
  • Proficient in the IT skills, systems and processes required to deliver consistent outcomes. Aware of how these support and fit within the wider business and the sector. Understands the types of risks that may arise through operational activities and how these risks can be mitigated. Can utilise complex processes and multiple systems as required.
  • Communicates effectively and professionally with clients, external counterparties and internal staff. Adheres to internal standards, market protocol and regulatory rules and principles for reporting purposes. Understands the relationships and service requirements between markets, clients and their intermediaries.

  Skills

  • Maintains a consistently high standard of service internally, towards clients and with intermediaries. Adheres to well defined timeframes, systems and processes. Consistently attentive to accuracy, detail and timeliness; meets required risk, regulatory and governance requirements. Performs tasks which may be complex, specialised, or non-routine, such as bespoke (OTC) derivative settlement and margin calculations, monitoring and processing these complex transactions through to completion; Preparing management, investment performance or review reports for internal and external clients.
  • Adopts high quality written and verbal communication skills as appropriate for communicating with internal and external clients. . Builds positive relationships with clients and colleagues using sound interpersonal and influencing skills. Able to coach/train less experienced colleagues. Able to communicate and negotiate complex situations and issues that may arise.
  • Consistently supports colleagues and the wider business, collaborating to achieve results. Aware of their role within team, how their team fits within the business and how the team’s decisions impacts on others. Takes a leadership role in the team when appropriate. Operates well under time pressure.
  • Takes ownership for delivery in their area of responsibility, both for the core role and for developing and implementing changes. Able to exercise autonomy and judgement within fairly broad parameters. Finds effective ways to resolve issues. Escalates decisions and issues when necessary. Capable of resolving complex issues that may involve other business areas.
  • Proactively plans and records their own development; seeks constructive feedback and incorporates within development plan; keeps up to date with changes in all areas of the role; shows commitment to the job and the industry.

  Behaviours

  • Truthful, sincere in their actions and does the right thing (even when not the easiest). Handles client information confidentially.
  • Willing to accept changing priorities and work patterns when new jobs need to be done, or when requirements change.
  • Shows drive and energy in their work, when things are going well and when challenges arise
• Apprenticeship category (sector): Legal, finance and accounting
• Qualification 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 the Institute for Apprenticeships and Technical Education.