Investment Operations

National Occupational Standards for Investment Operations

Approved in 2009, these National Occupational Standards include units which focus on arranging the settlement of investment transactions, establishing the price of assets and investments / units, and processing corporate actions on behalf of investors.


Background information

These National Occupational Standards for Investment Operations supersede the suite entitled ‘Investment Administration', which had previously been approved in 2006.

This updated version details the competence requirements for investment operations, including the creation of investor records, presenting information to investors and measuring the performance of investments.

It covers many of the back / middle office functions which support investment management roles and supplements our NOS for Investment Strategy & Management.


The National Occupational Standards

The project to develop these National Occupational Standards was launched in July 2008, and they were approved for publication by the qualification regulators in September 2009.

This work formed part of an extensive review of the suites of National Occupational Standards under Retail Financial Services, as part of an ongoing programme to ensure that they remain up-to-date and fit for purpose.

The previous National Occupational Standards had been last reviewed in 2005, and the new versions feature expanded coverage.

The National Occupational Standards for Investment Operations can be downloaded below.

The units can also be downloaded individually from the NOS Directory, at


Further information

For further information about these NOS, please contact the NOS team by emailing [email protected] or by calling 0845 618 2379.


Your feedback

We welcome feedback on the National Occupational Standards which we have produced. If you would like to comment on the NOS for Investment Operations, please complete and return the feedback form (which can be downloaded below) to [email protected].





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