Reference Quantity: ST0181

Particulars of ordinary

Position / Occupation

Funding Operations Technician


Funding Operations Technicians work throughout the operational and administrative areas of companies within the Monetary Companies sector that interact in funding administration, buying and selling and reporting actions. Transactions in these companies can vary in dimension from a whole lot of kilos to a whole lot of tens of millions of kilos. The assist construction underpinning these actions is substantial and various, with a home and international consumer base of institutional and retail purchasers that embrace personal people, small companies, collective funding schemes, pension funds, charities, companies and governments.

The Position

This function sometimes sits throughout the Operations areas of inventory exchanges, stockbrokers, funding managers, banks, monetary recommendation and wealth administration companies, and funding consulting and funding administration companies. Nearly all of work at this stage can be non-complex however requiring excessive requirements of accuracy, proficiency and accountability. Typical actions which may be carried out by a totally competent worker embrace, however should not restricted to:

  • Funding transaction matching, affirmation and settlement
  • Portfolio valuation
  • Portfolio money reconciliation and administration
  • Company actions processing
  • Preparation of inner and consumer funding experiences
  • Processing vital modifications to portfolios as instructed by purchasers or their authorised brokers



What’s required

Business and firm understanding

Broad understanding of the function and construction of the Monetary Companies business, the function and goal of markets and the ideas of investing.; the function of the operate through which they work and the way this function pertains to different assist features throughout the organisation and corresponding banks and companies.

Regulatory & compliance

Understands the Monetary Companies regulatory framework and the way the related guidelines and ideas apply to their very own function and inside their staff. Has an excellent understanding of market and operational dangers that will affect their function, departmental actions, the organisation, purchasers and business counterparties. Understands what constitutes applicable market, enterprise and private conduct.


Good understanding of the aim & technical content material of the monetary devices and/or merchandise supported by the function, together with the consumer want that’s met by the product.

Techniques & processes

Proficient within the IT expertise, techniques and processes required to ship the function outcomes.

Conscious of how these assist and match throughout the corresponding markets and counterparty organisations. In a position to conduct a complete course of independently with dependable outcomes.

Shopper Service and Relationships

Is aware of the ideas/instruments of fantastic consumer service and firm requirements required of their function. Understands the service necessities between markets, counterparties and several types of purchasers.


What’s required

Service supply

Able to performing non- complicated duties to constantly excessive requirements of consumer service, timeliness, accuracy and a spotlight to element. For instance, ensures the well timed preparation and accuracy of computerised money place, valuation, and consumer experiences; screens and processes the well timed allocation of funding revenue to consumer account; Ensures that consumer directions referring to growing or liquidating their investments are communicated and processed promptly. Manages personal workload and adheres to agreed techniques and processes. Meets required threat, regulatory and governance necessities.


Demonstrates top quality written and verbal communication expertise with each purchasers and colleagues. Builds and maintains good relationships with purchasers and counterparties.

Handles on a regular basis conditions and points that come up throughout the context of their job function. Ensures transactions arising from company actions are accurately communicated and allotted to consumer accounts.


Group working & collaboration

Persistently helps colleagues and contributes in the direction of making enhancements and efficiencies.  Conscious of their function throughout the staff, how their staff suits throughout the enterprise, and the affect of staff selections impacts on inner and exterior purchasers.

Possession & Initiative

Takes possession for supply of their space of accountability. Finds methods to progress and resolve non-complex points, adopting different approaches the place applicable. Escalates selections and points swiftly when mandatory.

Private growth

Participates proactively in planning and recording their growth actions; responds positively to suggestions from colleagues. Retains updated with modifications in all areas of the function; exhibits dedication to the job and the business.


What’s required

Honesty & Integrity

Truthful, honest of their actions and does the suitable factor (even when not the best).

Handles consumer data confidentially.


Prepared to just accept altering priorities and work patterns when new jobs should be performed or necessities change.


Reveals drive and power of their work, when issues are going effectively and when challenges come up


The length of the apprenticeship will sometimes be 18 – 24 months, however could possibly be nearer to 12 if the worker has already accomplished the Degree 2 apprenticeship.


The apprentice will full the next qualification as a part of the apprenticeship:

  • Chartered Institute of Securities and Funding (CISI) – Funding Operations Certificates

English and Maths

Apprentices with out stage 2 English and maths might want to obtain this stage previous to taking the Finish-Level Evaluation. For these with an training, well being and care plan or a legacy assertion, the apprenticeship’s English and maths minimal requirement is Entry Degree 3. A British Signal Language (BSL) qualification is an alternative choice to the English qualification for these whose main language is BSL

Hyperlink to skilled registration and development

Completion of the Funding Operations Certificates allows the apprentice to use for Affiliate Member standing within the CISI.

This apprenticeship can both be an entry stage function, or a development from a decrease stage, constructing on the data and expertise gained beforehand.  On completion, the worker will likely be absolutely competent within the function and this may kind the muse of a profession within the sector and the chance to begin to specialize in a specific space reminiscent of ISA Administration, World Custody, and Settlements. There are a number of choices past this apprenticeship together with the Degree 4 Trailblazer apprenticeship if applicable for the employer, and individually, there are a number of {qualifications} obtainable for additional examine as much as diploma stage.


This can be a Degree 3 apprenticeship

Overview date

After 3 years or when vital change is required

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