Carrying out investment transactions on behalf of individuals or organizations.
Occupational Profile
Investment Operations Specialists work within the operational and administrative areas of businesses in the Financial Services sector that engage in investment management, investment consulting, trading and reporting activities. Millions of investment transactions are conducted within the UK Financial Services sector every day on behalf of institutional and retail clients, ranging from private individuals and small businesses to unit trusts, pension funds, charities, corporations and governments within the UK and overseas. The financial instruments and products are varied and increasingly complex, requiring specialist skill to ensure that they are efficiently processed, registered, reported and valued within the employing organization, between counterparties and to end clients.
This role typically sits within the Operations areas of stock exchanges, stockbrokers, investment managers, banks, financial advice and wealth management firms, and investment consulting and investment administration businesses. A fully competent employee will be capable of performing complex and specialised activities, be fluent in the
systems and processes of the organisation, will be aware of the wider risk implications of their role and the business, and they may have training or supervisory responsibilities within their area of expertise. Typical activities that may be carried out by a fully competent employee include, but are not limited to:
- Processing and settlement of derivatives or complex investments
- Calculation and management of initial and ongoing margin for derivatives positions
- Valuation of complex investment portfolios
- Preparation of investment performance reports for clients and investment managers
- Preparation of management reports for internal review
- Selection of investment funds for platforms accessed by retail customers, based on pre-defined criteria
- Resolving complex issues within and across departments
Summary of standard
Full standard
https://www.instituteforapprenticeships.org/media/1078/investment_operations_specialist.pdf
