Investment Operations Technician

Investment Operations Technician

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

An investment operations technician works in financial services companies’ operational and administrative departments, such as banks that engage in investment management, trading, and reporting.

With transactions in these businesses ranging from hundreds to hundreds of millions of pounds, the support structure behind them, of which you will be an essential part, is vast and varied, thanks to local and global institutional and retail client bases.

As an investment operations technician apprentice, you must be precise, competent, and responsible. You’ll learn about investment transaction matching, confirmation and settlement, portfolio valuation, portfolio cash reconciliation and management, corporate activity processing, the creation of internal and client investment reports, and the handling of significant portfolio changes.

What you’ll learn

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

  • Maintain consistently high levels of customer service, timeliness, accuracy, and attention to detail. Ensures, for example, the timely preparation and accuracy of computerised cash position, valuation, and client reports; monitors and processes the timely allocation of investment income to a client account; and ensures that client instructions to increase or liquidate their investments are communicated and processed promptly. Manages one’s workload and adheres to agreed-upon processes and practices.
  • Conform to risk, regulatory, and governance guidelines.
  • Maintain good working connections with clients and counterparties.
  • Handle issues and difficulties that arise in the course of their job daily. Ensures that transactions arising from corporate operations are properly informed and allocated to consumer accounts.
  • Help colleagues regularly and add to enhancing and boosting efficiency. Understand your team’s role, how your team fits into the larger picture, and how team decisions impact internal and external customers.
  • Accept responsibility for delivering in their area of responsibility. Finds ways to go ahead and solve non-complex issues, using a variety of approaches as needed. When necessary, rapidly escalates options and issues.
  • Actively participate in the planning and recording your development initiatives; positively responds to feedback from colleagues. 
  • Maintain knowledge of changes in all work areas; show commitment to the job and the industry.

Entry requirements

You’ll usually need:

  • Depending on the employer, but likely GCSEs or equivalent qualifications or relevant experience.
  • 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: 

  • A Portfolio of Evidence
  • A Professional Discussion

Duration and level

  • Duration: 18 months
  • Level: 3 – Advanced Apprenticeship

Apprenticeship standard

More information about the Level 3 Investment Operations Technician 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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