Wholesale Banking

Advising on Securities Advising on Derivatives Compliance  Commodities
Islamic Finance IT in Investment Operations Operations Wholesale Regulation
Financial Crime      


 


Advising on Securities

fTradeable financial instruments such as, for example, equities and bonds.

Advising on Securities (equities & bonds)

Qualification

Awarding Body

Appropriate Exam

Meeting NOS(where available)

Certificate in Securities

The Chartered Institute for Securities & Investment

Yes

N/A

Certificate in Securities and Financial Derivatives

The Chartered Institute for Securities & Investment

Yes

N/A

Certificate in Investment Management

The Chartered Institute for Securities & Investment

Yes

N/A

Investment Management Certificate (IMC)

CFA Society of UK (Formerly UKSIP)

Yes

N/A

Diploma (must include a pass in Regulation and Compliance paper)

The Chartered Institute for Securities & Investment

Yes

N/A

IFID Certificate + UK regulatory module

ICMA Centre/University of Reading

Yes

N/A

Certified International Investment Analyst (CIIA) + UK regulatory module

CIIA

Yes

N/A

 

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Compliance

It is the role of the compliance officer to ensure that the organisation operates within the parameteres set by the regulator.

Qualification

Awarding Body

Appropriate Exam

Meeting NOS

Advanced Certificate in Compliance

International Compliance Association

N/A

Yes

View NOS

Diploma in Compliance

International Compliance Association

N/A

Yes

View NOS

Diploma in Anti Money Laundering

International Compliance Association

N/A

Yes

View NOS

 

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Wholesale Regulation

 

Qualification

Awarding Body

Appropriate Exam

Meeting NOS

Diploma in Capital Markets Regulation and Compliance

FINRA/University of Reading

Yes

N/A

 

 

 

 

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Derivatives

An instrument compassing options, futures or contracts for differences, whose price is derived from, and dependent upon, the price of an underlying asset.

Advising on Derivatives (futures, options or contracts for differences)

Qualification

Awarding Body

Appropriate Exam

Meeting NOS(Where available)

Certificate in Derivatives

The Chartered Institute for Securities & Investment

Yes

N/A

Certificate in Financial Derivatives

The Chartered Institute for Securities & Investment

Yes

N/A

Certificate in Securities and Financial Derivatives

The Chartered Institute for Securities & Investment

Yes

N/A

Certificate in Investment Management

The Chartered Institute for Securities & Investment

Yes

N/A

Investment Management Certificate (IMC)

CFA Society of UK (Formerly UKSIP)

Yes

N/A

Diploma (must include a pass in Regulation and Compliance paper)

The Chartered Institute for Securities & Investment

Yes

N/A

IFID Certificate + UK regulatory module

ICMA Centre/University of Reading

Yes

N/A

Certified International Investment Analyst (CIIA) + UK regulatory module

CIIA

Yes

N/A

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Operations

Operations is the area that deals with the administration required after a trade has been made. Once a trade has been made, the relevant administration is carried out and the money is secured, in order to transfer the assets traded from the seller to the buyer.

Qualification

Awarding Body

Appropriate Exam

Meeting NOS(Where available)

Operations Certificate Programme (OCP) + UK regulatory module

ICMA Centre /University of Reading (Formerly ISMA Centre/University of Reading)

Yes

N/A

Investment Operations Certificate (IOC)

  The Chartered Institute for Securities & Investment

Yes

N/A

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IT in Investment Operations

The IT in Investment Operations (ITIO) qualification has been developed for IT staff working in financial services, who wish to develop their knowledge and understanding of IT needs specific to the financial services arena. It will be of particular interest to those who are new to the industry, or who are hoping to move into the financial services industry.

Qualification

Awarding Body

Appropriate Exam

Meeting NOS

IT in Investment Operations (ITIO)

The Chartered Institute for Securities & Investment

No

N/A

 

 

 

 

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Islamic Finance

The Islamic Finance qualification is aimed at new and existing investment professionals specialising in Sharia'a compliant finance trade, investment and insurance.  Covering Islamic Finance from both a technical and Sharia'a perspective, the IFQ is a practical Islamic Banking qualification which also covers legal aspects of Sharia'a which underpins all Islamic contracts.

Qualification

Awarding Body

Appropriate Exam

Meeting NOS

Islamic Finance Qualification (IFQ)

The Chartered Institute for Securities & Investment

No

N/A

 

 

 

 

 

 

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Commodities

An item that can be bought and sold. Taken to refer to Exchange-traded items including sugar, wheat, soya beans, coffee and tin.

Qualification

Awarding Body

Appropriate Exam

Meeting NOS

Certificate in Commodity Derivatives

The Chartered Institute for Securities & Investment

N/A

Yes

 

 

 

 

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Financial Crime

In accordance with section 6(3) of the Act) any kind of criminal conduct relating to money or to financial services or markets, including any offence involving:

  1. fraud or dishonesty; or
  2. misconduct in, or misuse of information relating to, a financial market; or
  3. handling the proceeds of crime;

In this definition, "offence" includes an act or omission which would be an offence if it had taken place in the United Kingdom.

 

Qualification

Awarding Body

Appropriate Exam

Meeting NOS

ICA Diploma in Financial Crime Prevention

International Compliance Association

N/A

Yes

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