CISI - Investment Operations Certificate

The Chartered Institute for Securities & Investment was founded in 1992 by London Stock Exchange practitioners. CISI qualifications are globally recognised by a wide range of governments and their regulators. Organisations across the world are using CISI qualifications and membership to ensure that their staff possess the practical knowledge to carry out their job roles and to meet the needs of the regulators.

The IOC is the CISI’s most established qualification and is taken by practitioners globally to enhance their knowledge and skills of the administration and operations areas of the financial services industry. The qualification will provide you with an overview of the financial services industry and its regulation, whilst also covering technical activities which are relevant to the area in which you work.

The IOC is the first step in the CISI’s operations qualification pathway and is suitable for all staff working in, or aspiring to work in, the administration and operations areas of financial services. The qualification is increasingly used as a benchmarking tool by major banks and investment firms to ensure that staff possess practical knowledge which can be immediately applied to business activities. The IOC can be included into staff induction programmes.

Assessment Each IOC unit is completed by passing a one-hour, 50 multiple-choice question exam (with the exception of, Global Financial Compliance and Risk in Financial Services which are two hour, 100 multiple-choice question exams. UK Financial Regulation and Derivatives Operations are one hour thirty minutes, 75 multiple-choice question exams). Exams are taken by computer based testing (CBT).

Course:On-Demand Only
Study Mode:Face to Face (English Language)
Study Time:175 hours
Syllabus:1. Introductory units
• Introduction to Securities and Investment
• International Introduction to Securities and Investment +
2. Regulatory units
• UK Financial Regulation
• Local regulatory paper * +
3. Technical units
• Asset Servicing
• Client Money and Assets
• Combating Financial Crime
• Derivatives Operations
• Global Financial Compliance
• Global Securities Operations
Delivery:Classroom Tuition
• 11 sessions of 4 hours (1 meeting per week)
• 5 hours of homework per week
• 15 hours of examination preparation
Delivery:In-Company Training
• 11 sessions of 4 hours
• 5 hours of workplace training (5 sessions)
• 15 hours of examination preparation
Fees:Distance Learning: EUR 2,350 per participant
Classroom Study: EUR 3,575.- per participant
* group discount available
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