Investment Operations (7418)

Last Updated: 05 Dec 2017

Product code 7418

New Apprenticeship Standards are designed by employer groups to be rigorous and respond to employers’ needs.

The new Investment Operations Administrator, Investment Operations Technician and Investment Operations Specialist apprenticeship standards have been approved for delivery by the Skills Funding Agency (SFA) and will replace the current SASE Providing Financial Services (Investment Pathway) Apprenticeship Frameworks. The Investment Operations Administrator Apprenticeship is an entry level role appropriate for individuals with no prior work or industry experience. There are no mandatory qualifications required for this apprenticeship.

The Investment Operations Technician Apprenticeship can either be an entry level role, or a progression from a lower level building on the knowledge and skills gained previously. On completion, the employee will be fully competent in the role and this will form the foundation of a career in the sector and the opportunity to start to specialise in a particular area such as ISA Administration, Global Custody and Settlements.

The Investment Operations Specialist Apprenticeship is designed for a fully competent employee who will be capable of performing complex and specialised activities, be fluent in the systems and processes of the organisation, will be aware of the wider risk implications of their role and the business, and they may have training or supervisory responsibilities within their area of expertise. This apprenticeship is most likely to be a progression from a lower level apprenticeship, building on previously acquired knowledge and skills. The apprentices’ journey begins with a period of learning, development and continuous assessment which covers the full range of knowledge, skills, behaviours and attitudes required within the investment operations environment. This is managed by the employer. In most cases, there’s also support from a training provider.

In the next stage the apprentice is required to have to show evidence of the relevant investment operations knowledge, skills and behaviours as set out in the standard and to have achieved Level 2 Mathematics and Level 2 English qualifications (or relevant equivalent) either during or before their apprenticeship.

Finally the apprentice moves on to the final stage of end-point assessment made up of the following assessment methods:
• Portfolio of evidence
• Professional discussion

The Investment Operations Administrator Apprenticeship standard has a typical duration of 12-18 months and is Level 2 apprenticeship.

The Investment Operations Technician Apprenticeship standard has a typical duration of 18 - 24 months and is Level 3 apprenticeship.

The Investment Operations Specialist Apprenticeship standard has a typical duration of 18 - 24 months and is a Level 4 apprenticeship.

Available to deliver in the following countries:
• England


On Programme on-the-job and off-the-job training
Training and development takes place during this part of the apprenticeship which may include a qualification if it is identified as a requirement in the standard. Formative assessment of skills, knowledge and behaviours is required in the delivery of the standard and this will be outlined in the assessment plan. Maths and English are required (level varies according to the standard).

Investment Operations Administrator: There are no mandatory qualifications for this standard.

Investment Operations Technician: The apprentice will complete the following qualification as part of the apprenticeship:
• Chartered Institute of Securities and Investment (CISI) – Investment Operations Certificate

Investment Operations Specialist: The apprentice will complete an appropriate qualification/examinations (as considered most relevant by the employer) from one of the following Professional Bodies:
• Chartered Institute of Securities and Investment – Investment Operations Certificate; Certificate in Investment Management; investment Advice Diploma; Managing Operational Risk in Financial Institutions
• CFA Institute/CFA UK – Investment Management Certificate

End-point assessment

The employer and provider are required to sign-off the apprentice as ready to move on to the end-point assessment. To be eligible for end-point assessment the apprentice must have successfully achieved the required qualification, if applicable, as detailed within each of the standards plus Maths and English are required (level varies according to the standard). End-point assessment

The end-point assessment must demonstrate that the apprentice can perform in the occupation in a fully competent, holistic and productive way. The assessment will be graded if required by the standard. The assessment organisation and assessor must be independent of, and separate from, the training provided by the provider and employer.

Apprenticeship certification
On successful completion, the end-point assessment organisation will apply to the SFA for the apprenticeship certification. The certificate will then be sent to the apprentice’s employer.

How to register

Interested in using our high-quality on-programme materials or end-point assessment service? There are three ways to either find out more or to order what you need:
1. If you’re an existing City & Guilds customer, go to Walled Garden and select the materials you need or register your apprentice for end-point assessment. (You may need to submit a request to deliver a standard if you don’t yet have approval for that.)
2. Get in touch with Our Direct Sales Team can explain our different products and services and start getting you set up as a customer or give existing customers support on the new apprenticeship arrangements.
3. Speak to your City & Guilds Business Manager about how to access our products or how to register your apprentices with us.

Here you can find all documents related to this suite of apprenticeship.

By clicking on the section headings below, you can access a variety of documents such as the qualification handbooks and assessment materials, Statements of Purpose, and recognition letters from industry and employers.

Some documents may be password protected. Passwords can be retrieved by logging in to and visiting the Administration section of the relevant qualification catalogue page.

Interested in delivering this apprenticeship?

Find out more about how to become an approved City & Guilds centre or fill out our online customer application form