Investment Operations Specialist

Investment Operations Specialist

On an investment operations specialist apprenticeship course, you’ll help carry out investment transactions on behalf of individuals or organisations.

An investment operations specialist is involved in financial services firms’ operational and administrative elements that engage in investment management, consulting, trading, and reporting.

Financial instruments and products are varied and increasingly complex, requiring the employment of specialists to ensure that they are properly processed, registered, reported, and valued inside the organisation, between counterparties, and the end consumers.

As an investment operations expert apprentice, you will typically work in the operations divisions of stock exchanges, stockbrokers, investment managers, banks, financial advice and wealth management businesses, and investment consulting and investment management firms.

You’ll learn how to do challenging jobs, get familiar with the organisation’s processes and procedures, and become aware of the broader risks associated with your position and the business.

What you’ll learn

On an investment operations specialist apprenticeship course, you’ll learn to:

  • Consistently provide a high level of service internally and with clients and intermediaries.
  • Follow timetables, procedures, and processes that have been established. Consistent attention to detail, accuracy, and timeliness satisfies risk, regulatory and governance criteria. 
  • Perform sophisticated, specialised, or non-routine tasks such as customised (OTC) derivative settlement and margin calculations, as well as monitoring and processing these complex transactions through to completion. 
  • Develop management reports, investment performance reports, and review reports for internal and external clients.
  • Use high-quality written and verbal communication skills. 
  • Positive relationships are established with clients and colleagues by applying strong interpersonal and persuasive skills. 
  • Consistently support colleagues and the broader business, striving to achieve goals. Understand the purpose of your team, how your team fits into the company, and how your team’s activities impact others. 
  • Accept responsibility for delivering in your area of responsibility, both in the core work and in developing and implementing changes. 
  • Proactively plan and record own development; seeks constructive feedback and incorporates it into their development plan; keeps up to date on developments in all areas of the role; shows commitment to the work and the industry.

Entry requirements

You’ll usually need:

  • Likely completion of a lower level apprenticeship, building on previously acquired knowledge and skill.
  • Apprentices without level 2 English and maths will need to achieve this before taking the end-point assessment.

Assessment methods

The End Point Assessment comprises two distinct assessment methods: 

  • Portfolio of Evidence 
  • Professional Discussion 

Duration and level

  • Duration: 18 months
  • Level: 4 – Higher Apprenticeship

Apprenticeship standard

More information about the Level 4 Investment Operations Specialist Apprenticeship standard can be found here.

Apprenticeship end point assessment

For more information about the End Point Assessment Process, please read the Institute of Apprenticeships’ information page.

Updated on October 1, 2022

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