Asset Management

Managing Investments  |  Compliance  |  IT in Investment Operations  |  
Financial Crime


 

Managing Investments

Making decisions and arrangements on your behalf about how your money should be invested.

 

Qualification

Awarding Body

Appropriate Exam

Meeting NOS

Investment Management Certificate (IMC)

CFA Society of UK (Formerly UKSIP)

Yes

N/A

Certificate in Investment Management

The Chartered Institute for Securities & Investment

Yes

N/A

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

The Chartered Institute for Securities & Investment

Yes

N/A

Certified International Investment Analyst (CIIA) + UK regulatory module

CIIA

Yes

N/A

 

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Compliance

 

Qualification

Awarding Body

Appropriate Exam

Meeting NOS

Advanced Certificate in Compliance

International Compliance Association

No

Yes

View NOS

Diploma in Compliance

International Compliance Association

No

Yes

View NOS

Diploma in Anti Money Laundering

International Compliance Association

No

Yes

View NOS

 

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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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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

View NOS

 

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