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
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
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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...