Apprenticeship training course

Investment operations technician (level 3)

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Information about Investment operations technician (level 3)

Supporting teams that carry out investment transactions on behalf of individuals or organisations.

• Knowledge, skills and behaviours:
  View knowledge, skills and behaviours

  Knowledge

  • Industry and company understanding: Broad understanding of the role and structure of the Financial Services industry, the role and purpose of markets and the principles of investing.; the role of the function in which they work and how this role relates to other support functions within the organisation and corresponding banks and firms.
  • Regulatory & compliance: Understands the Financial Services regulatory framework and how the relevant rules and principles apply to their own role and within their team. Has a good understanding of market and operational risks that may impact their role, departmental activities, the organisation, clients and industry counterparties. Understands what constitutes appropriate market, business and personal conduct.
  • Products: Good understanding of the purpose & technical content of the financial instruments and/or products supported by the role, including the client need that is met by the product.
  • Systems & processes: Proficient in the IT skills, systems and processes required to deliver the role outcomes. Aware of how these support and fit within the corresponding markets and counterparty organisations. Able to conduct an entire process independently with reliable results.
  • Client Service and Relationships: Knows the principles/tools of excellent client service and company standards required in their role. Understands the service requirements between markets, counterparties and different types of clients.

  Skills

  • Service delivery: Capable of performing non- complex tasks to consistently high standards of client service, timeliness, accuracy and attention to detail. For example, ensures the timely preparation and accuracy of computerised cash position, valuation, and client reports; monitors and processes the timely allocation of investment income to client account; Ensures that client instructions relating to increasing or liquidating their investments are communicated and processed promptly. Manages own workload and adheres to agreed systems and processes. Meets required risk, regulatory and governance requirements.
  • Communication: Demonstrates high quality written and verbal communication skills with both clients and colleagues. Builds and maintains good relationships with clients and counterparties. Handles everyday situations and issues that arise within the context of their job role. Ensures transactions arising from corporate actions are correctly communicated and allocated to client accounts.
  • Team working & collaboration: Consistently supports colleagues and contributes towards making improvements and efficiencies. Aware of their role within the team, how their team fits within the business, and the impact of team decisions impacts on internal and external clients.
  • Ownership & Initiative: Takes ownership for delivery in their area of responsibility. Finds ways to progress and resolve non-complex issues, adopting alternative approaches where appropriate. Escalates decisions and issues swiftly when necessary.
  • Personal development: Participates proactively in planning and recording their development activities; responds positively to feedback from colleagues. Keeps up to date with changes in all areas of the role; shows commitment to the job and the industry.

  Behaviours

  • Honesty & Integrity: Truthful, sincere in their actions and does the right thing (even when not the easiest). Handles client information confidentially.
  • Adaptability: Willing to accept changing priorities and work patterns when new jobs need to be done or requirements change.
  • Enthusiasm: 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: 3; Equal to A level
• 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 technician (level 3) from the Institute for Apprenticeships and Technical Education.