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Workshop Banking

Wholesale Banking

Advising on Securities

Advising on Derivatives

Compliance

Operations

 

    The IT in Investment Operations       Islamic Finance

 

Securities

Tradeable 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

Securities and Investment Institute (SII)

Yes

N/A

Certificate in Securities and Financial Derivatives

Securities and Investment Institute (SII)

Yes

N/A

Certificate in Investment Management

Securities and Investment Institute (SII)

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)

Securities and Investment Institute (SII)

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

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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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

Securities and Investment Institute (SII)

Yes

N/A

Certificate in Financial Derivatives

Securities and Investment Institute (SII)

Yes

N/A

Certificate in Securities and Financial Derivatives

Securities and Investment Institute (SII)

Yes

N/A

Certificate in Investment Management

Securities and Investment Institute (SII)

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)

Securities and Investment Institute (SII)

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 Administration Qualification (IAQ)

Securities and Investment Institute (SII)

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)

Securities & Investment Institute

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)

Securities & Investment Institute

No

N/A

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