Wholesale Banking
| Advising on Securities | Advising on Derivatives | Compliance | Commodities |
| Islamic Finance | IT in Investment Operations | Operations | Wholesale Regulation |
| Financial Crime |
fTradeable financial instruments such as, for example, equities and bonds.
Advising on Securities (equities & bonds)
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Qualification |
Awarding Body |
Appropriate Exam |
Meeting NOS(where available) |
|
Yes |
N/A |
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Yes |
N/A |
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Yes |
N/A |
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Yes |
N/A |
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Diploma (must include a pass in Regulation and Compliance paper) |
Yes |
N/A |
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Yes |
N/A |
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Certified International Investment Analyst (CIIA) + UK regulatory module |
Yes |
N/A |
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 |
|
N/A |
Yes View NOS |
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N/A |
Yes View NOS |
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N/A |
Yes View NOS |
Wholesale Regulation
|
Qualification |
Awarding Body |
Appropriate Exam |
Meeting NOS |
|
Diploma in Capital Markets Regulation and Compliance |
FINRA/University of Reading |
Yes |
N/A |
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)
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Qualification |
Awarding Body |
Appropriate Exam |
Meeting NOS(Where available) |
|
Yes |
N/A |
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Yes |
N/A |
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Yes |
N/A |
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Yes |
N/A |
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Yes |
N/A |
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Diploma (must include a pass in Regulation and Compliance paper) |
Yes |
N/A |
|
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IFID Certificate + UK regulatory module |
Yes |
N/A |
|
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Certified International Investment Analyst (CIIA) + UK regulatory module |
Yes |
N/A |
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 |
| The Chartered Institute for Securities & Investment |
Yes |
N/A |
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) |
No |
N/A |
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.
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Qualification |
Awarding Body |
Appropriate Exam |
Meeting NOS |
|
Islamic Finance Qualification (IFQ) |
No |
N/A |
Commodities
An item that can be bought and sold. Taken to refer to Exchange-traded items including sugar, wheat, soya beans, coffee and tin.
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Qualification |
Awarding Body |
Appropriate Exam |
Meeting NOS |
|
Certificate in Commodity Derivatives |
The Chartered Institute for Securities & Investment |
N/A |
Yes |
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:
- fraud or dishonesty; or
- misconduct in, or misuse of information relating to, a financial market; or
- 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.
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Qualification |
Awarding Body |
Appropriate Exam |
Meeting NOS |
|
ICA Diploma in Financial Crime Prevention |
International Compliance Association |
N/A |
Yes View here |
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