Professional Training

CISI Investment Operations Certificate

Fitch Learning, Online
2 days
Next course start
Enquire for more information See details
Course delivery
Virtual Classroom
2 days
Next course start
Enquire for more information See details
Course delivery
Virtual Classroom
Leave your details so the provider can get in touch

Course description

CISI Investment Operations Certificate

The CISI IOC is highly regarded by many investment houses. Passing the exam reflects a thorough understanding of the financial services industry, as well as adding to your personal credentials. All the units feature on the Financial Services Skills Council's list of recommended examinations. In fact, for some supervisory staff, it's compulsory. If you work in a "captured" role your firm must be able to show that you have reached a benchmark level of competency and the IOC exam fulfills those criteria for most people.

Having this qualification on your CV demonstrates professionalism and a commitment to high standards. Once you've taken it, you can apply to the Chartered Institute of Securities and Investment to become an Associate Member.

Upcoming start dates

1 start date available

Enquire for more information

  • Virtual Classroom
  • Online

Suitability - Who should attend?

Widely acknowledged as the most appropriate qualification for staff working in the administration and operations areas of the financial services industry, the IOC is taken by 1000 candidates each year. It offers an overview of the financial services industry and its regulation, and incorporates a range of examinations that represent different technical activities within the industry.

Training Course Content

To gain the IOC you'll need to complete successfully:

Unit 1 - Introduction to securities and investment

  • Introduction
  • Economic Environment
  • Financial Assets and Markets
  • Equities
  • Bonds
  • Derivatives
  • Investment Funds
  • Financial Services Regulation
  • Taxation, Investment Wrappers and Trusts
  • Other Retail Financial Products

Unit 2 - UK financial regulation

  • The Regulatory Environment
  • The Financial Services and Markets Act 2000 & Financial Services Act 2012
  • Associated Legislation and Regulation
  • The FCA Conduct of Business Sourcebook / Client Assets
  • Complaints and Redress

And at least one of the technical modules (determined by your role):

  • Client Money and Assets
  • Asset Servicing
  • Collective Investment Schemes Administration
  • Combating Financial Crime
  • Derivatives
  • Global Financial Compliance
  • Global Securities Operations
  • IT in Investment Operations
  • Operational Risk
  • Platforms, Wealth Management & Service Providers
  • Risk in Financial Services

Why choose Fitch Learning

9 in 10 would recommend us to a colleague

Over 1,300 clients worldwide

CPD recognized

Request info

Contact course provider

Fill out your details to find out more about CISI Investment Operations Certificate.

  Contact the provider

  Get more information

  Register your interest

Country *

reCAPTCHA logo This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.
Fitch Learning
Fitch Learning (Head Office & Training Centre)
The Corn Exchange, 55 Mark Lane
EC3R 7NE London

Fitch Learning

Part of the Fitch Group, Fitch Learning partners with clients to enhance knowledge, skills and conduct. With centers in London, New York, Singapore, Dubai and Hong Kong, we are committed to questioning and understanding client needs across the globe and...

Read more and show all courses with this provider