Chartered Institute for Securities & Investment · RQF Level 3
CISI Level 3 Certificate in Investment Operations
You don’t just earn this. You learn to use it, one-to-one, on your own real work.
- LevelRQF Level 3
- Total credits24
- Guided learning45 hours
- Units in this qualification30
Awarded by Chartered Institute for Securities & Investment · on the Ofqual register
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What you’ll learn
What each unit actually teaches you to do
Investment Operations Certificate
These are the units Chartered Institute for Securities & Investment registers against this qualification. It is a catalogue, not a syllabus. Which of them you take depends on the combination the qualification requires, and that is set by the awarding body rather than by us. Every unit here is regulated, and every one you earn is yours to keep.
Administration of Settlement & InvestmentsReal unit · Chartered Institute for Securities & Investment
You'll understand the administration of settlement and investments within the retail investment sector. The unit covers client asset regulations, data and record keeping, settlement processes, corporate actions, and tax-incentivised savings.
What you'll be able to do
- Understand the structure and operation of the retail investment sector
- Understand the regulations and procedures relating to Client Assets
- Understand the importance of accurate Data and Record Keeping in investment administration
- Understand the processes involved in Settlement of investment transactions
- Understand the administration of Corporate Actions affecting investments
- Understand the features and administration of Collectives and Tax Incentivised Savings schemes
- Understand the principles of Income Tax as it applies to investments
- Understand the different types of Client Account used in investment administration
- Understand the specific considerations for Overseas Investment
- Understand the procedures for Closing Accounts
Asset ServicingReal unit · Chartered Institute for Securities & Investment
This unit provides learners with comprehensive knowledge of asset servicing, including capital instruments and transactions. You'll explore the life cycle of corporate events, mandatory and voluntary events, IPOs, proxy voting, tax, and participant roles.
What you'll be able to do
- Understand the different types of capital instruments and transactions that occur within asset servicing.
- Describe the complete life cycle of a corporate event from announcement to completion.
- Explain the characteristics and processing requirements of mandatory corporate events.
- Explain the characteristics and processing requirements of voluntary corporate events.
- Describe the process and implications of Initial Public Offers (IPOs).
- Explain the purpose and mechanics of proxy voting in relation to share ownership.
- Understand the tax implications associated with asset servicing activities and transactions.
- Identify the roles and responsibilities of key participants involved in the asset servicing process.
- Recognise the legal and compliance issues relevant to asset servicing operations.
- Identify and describe the different types of risk encountered in asset servicing.
Client Money and AssetsReal unit · Chartered Institute for Securities & Investment
It teaches you to understand the importance of client assets within financial institutions and their protection under the FCA's client assets regime. You'll explain different types of client assets and the potential consequences of inadequate protection.
What you'll be able to do
- Understand the importance of client assets within financial institutions.
- Understand how client assets must be adequately protected under the Financial Conduct Authority's client assets regime.
Collective Investment Schemes AdministrationReal unit · Chartered Institute for Securities & Investment
This unit introduces learners to Collective Investment Schemes, their purpose, and investor utilisation. You'll study the UK regulatory and legislative environment, financial crime prevention principles, relevant EU Directives, and the regulatory responsibilities associated with these schemes.
What you'll be able to do
- Know the reasons for the introduction of Collective Investment Schemes and how they are utilised by investors.
- Understand the UK regulatory and legislative environment that governs Collective Investment Schemes.
- Understand the fundamental principles of preventing financial crime within the context of Collective Investment Schemes.
- Know the purpose and key requirements of relevant EU Directives pertaining to Collective Investment Schemes.
- Know the rights and protections afforded to Unit/Shareholders in Collective Investment Schemes.
- Understand the legal and operational constitution of a Collective Investment Scheme.
- Understand the roles and responsibilities of key parties involved in Collective Investment Schemes, including the Authorised Fund Manager, Depositaries, Trustees, Custodians, and Auditors.
- Understand the investment and borrowing powers available to Collective Investment Schemes.
- Understand the processes involved in investor transactions within Collective Investment Schemes.
- Understand the registration and settlement procedures for transactions in Collective Investment Schemes.
- Understand the procedures for the distribution of income within Collective Investment Schemes.
- Understand the content and purpose of investor communications, including annual and half-yearly reports and accounts.
- Understand the taxation implications for Collective Investment Schemes and their investors.
Combating Financial CrimeReal unit · Chartered Institute for Securities & Investment
It teaches you to understand the background and nature of financial crime within the UK and internationally. You'll explore predicate offences, money laundering, and the measures in place to combat financial crime.
What you'll be able to do
- Explain the background and nature of financial crime in the UK and the international context, and the different approaches to combating it.
- Explain the nature of predicate offences.
- Explain money laundering in both the UK and the international context, and the measures in place to combat it.
- Explain the nature of terrorist financing in its global context, and the measures in place to combat it.
- Explain the nature, significance and impact of corruption, and the measures in place to combat it.
- Explain the nature of bribery and the measures in place to combat it in the UK and the United States.
- Describe governmental and quasi-governmental approaches to combating financial crime.
- Explain the role of the private sector in combating financial crime.
Combating Financial CrimeReal unit · Chartered Institute for Securities & Investment
This unit covers regulations and practices related to combating financial crime in the financial services industry. You'll describe anti-money laundering regulations, the Proceeds of Crime Act 2002, terrorist financing measures, and Know Your Customer procedures.
What you'll be able to do
- Understand the regulations designed to combat financial crime within the financial services industry
- Understand the practices employed to prevent and detect financial crime
- Understand the reporting requirements related to suspected financial crime
Crest SettlementReal unit · Chartered Institute for Securities & Investment
This unit provides learners with a comprehensive understanding of the CREST settlement system. You'll explore its scope, purpose, operational fundamentals, and processes involved in dematerialised and certificated securities settlement.
What you'll be able to do
- Understand the scope, purpose and operational fundamentals of the CREST settlement system.
- Explain the key concepts and terminology used in CREST settlement processes.
- Describe the process of dematerialised settlement for domestic securities within CREST.
- Outline the specific processes involved in the settlement of certificated securities.
- Explain the nature of stock lending and collateral management within the CREST environment.
- Describe the processing of corporate actions and claims within CREST.
- Understand the characteristics and processes involved in international settlements via CREST.
Derivative OperationsReal unit · Chartered Institute for Securities & Investment
You'll develop an understanding of derivative operations, including exchange-traded and over-the-counter derivatives. The unit covers key characteristics of futures, options, swaps, and forward contracts, as well as their administration.
What you'll be able to do
- Understand the characteristics of Exchange-Traded Derivatives
- Understand the characteristics of Over-The-Counter Derivatives
- Understand the administration processes associated with Exchange-Traded Derivatives
- Understand the administration processes associated with Over-The-Counter Derivatives
Exchange Traded Derivatives AdministrationReal unit · Chartered Institute for Securities & Investment
It teaches you to understand the history and development of exchange-traded derivatives, including futures and options. You'll study the characteristics, pricing principles, and uses of these derivatives, alongside the roles of derivative exchanges and clearing houses.
What you'll be able to do
- Understand the history and development of derivative markets, including key milestones and influential factors.
- Understand the characteristics of futures contracts, including standardisation and delivery mechanisms.
- Understand the basic principles of pricing futures contracts, including cost of carry and expectations.
- Understand the characteristics of options contracts, including calls, puts, and strike prices.
- Understand how derivatives are used for hedging, speculation, and arbitrage.
- Understand the role of a derivative exchange in facilitating trading and ensuring market integrity.
- Understand the role of the clearing house in guaranteeing trades and managing risk.
- Understand the concept of margin in derivative trading, including initial margin and maintenance margin.
- Understand the concepts of clearing and settlement in derivative markets, including the processes involved.
- Understand derivative regulation and compliance requirements, including relevant legislation and industry standards.
- Understand the main characteristics of credit risk associated with derivatives.
- Understand the main characteristics of market risk associated with derivatives.
- Understand the main characteristics of operational risk associated with derivatives.
Exchange-Traded DerivativesReal unit · Chartered Institute for Securities & Investment
This unit provides learners with an understanding of the history, development, and role of exchange-traded derivatives within the global financial system. You'll examine the characteristics and pricing principles of futures and options contracts, as well as the functions of derivative exchanges and clearing houses.
What you'll be able to do
- Understand the history and development of derivative markets, including key milestones and influential factors.
- Understand the characteristics of futures contracts, including standardisation and delivery mechanisms.
- Understand the basic principles of pricing futures contracts, including cost of carry and expectations.
- Understand the characteristics of options contracts, including calls, puts, and strike prices.
- Understand how derivatives are used for hedging, speculation, and arbitrage.
- Understand the role of a derivative exchange in facilitating trading and ensuring market integrity.
- Understand the role of the clearing house in guaranteeing trades and managing risk.
- Understand the concept of margin in derivative trading, including initial margin and maintenance margin.
- Understand the concepts of clearing and settlement in derivative markets, including the processes involved.
- Understand derivative regulation and compliance requirements, including relevant legislation and industry standards.
- Understand the main characteristics of credit risk associated with derivatives.
- Understand the main characteristics of market risk associated with derivatives.
- Understand the main characteristics of operational risk associated with derivatives.
FSA Financial RegulationReal unit · Chartered Institute for Securities & Investment
This unit provides learners with knowledge of the Financial Services Authority's role within the UK regulatory infrastructure. You'll explore the Financial Services and Markets Act 2000, associated legislation, European Union Directives, and the FSA Conduct of Business Sourcebook and client protections.
What you'll be able to do
- Understand the role and responsibilities of the Financial Services Authority (FSA) within the regulatory infrastructure.
- Understand the key provisions and implications of the Financial Services and Markets Act 2000.
- Understand associated legislation and regulation relevant to financial services.
- Understand the impact of relevant European Union Directives on financial regulation.
- Understand the key principles of the FSA Conduct of Business Sourcebook and regulations concerning client assets.
- Understand the procedures for handling customer complaints and providing redress.
Global Financial ComplianceReal unit · Chartered Institute for Securities & Investment
This unit provides learners with an understanding of the international financial services regulatory environment and approaches to regulation. You'll examine the compliance function, management of financial crime risk, and the importance of ethics, integrity, and fairness in financial organisations.
What you'll be able to do
- Understand the key aspects of the international financial services regulatory environment.
- Understand the international approach to financial regulation and its objectives.
- Understand the purpose and key responsibilities of the compliance function within a financial organisation.
- Understand how the risk of financial crime is identified, assessed, and managed within a global context.
- Understand the importance of ethics, integrity, and fairness in financial services and the role of compliance in promoting these values.
- Understand the role of compliance in the context of corporate governance and risk management frameworks.
Global Securities OperationsReal unit · Chartered Institute for Securities & Investment
You'll understand the types of securities, issue methods, and fundamental trading principles. The unit covers the roles and responsibilities of industry participants in securities operations, settlement characteristics, investor services, taxation aspects, and associated risks.
What you'll be able to do
- Understand the different types of securities, their issue methods, and the fundamental principles of securities trading.
- Understand the roles and responsibilities of the main industry participants involved in securities operations.
- Understand the key settlement characteristics for various types of securities.
- Understand the range of other investor services related to securities operations.
- Understand the key aspects of taxation relevant to securities and their investors.
- Understand the various types of risk associated with securities operations and how they are managed.
ISA AdministrationReal unit · Chartered Institute for Securities & Investment
This unit offers learners a comprehensive understanding of Individual Savings Accounts (ISAs), including their definition, purpose, and regulatory framework. You'll explore the investor application process, investment rules, account income treatment, and account holder rights and protections.
What you'll be able to do
- Understand the definition and purpose of an Individual Savings Account (ISA).
- Understand the regulatory framework and authorisation requirements for ISA providers.
- Understand the process of investor applications for ISAs, including eligibility and documentation.
- Understand the investment rules and restrictions applicable to ISAs.
- Understand how account income is treated within an ISA and the process for claiming tax relief.
- Understand the rights and protections afforded to ISA account holders.
- Understand the charges and expenses that account managers can levy on ISAs.
- Understand the procedures for withdrawals, account closure, and the handling of ISAs upon the death of an investor.
- Understand the process for transferring ISAs between providers.
- Understand the requirements for submitting Returns of Information to HMRC and the process for HMRC inspections.
IT in Investment OperationsReal unit · Chartered Institute for Securities & Investment
You'll explore the role of information technology in investment operations, focusing on its impact on efficiency, risk management, and regulatory compliance. The unit covers IT support across the functional flow of financial instruments, from trading through to settlement and post-settlement processes.
What you'll be able to do
- Understand the role of IT in the securities industry, including its impact on efficiency and risk management.
- Understand how IT supports the functional flow of financial instruments, from trading to settlement.
- Understand the role of IT in the front office, including trading platforms and order management systems.
- Understand the role of IT in the pre-settlement phase, including trade confirmation and reconciliation.
- Understand the role of IT in the settlement and post-settlement phases, including clearing and custody.
- Understand the impact of IT on Financial Control, including reporting and audit trails.
- Understand IT Management principles and practices within investment operations.
- Understand how to manage business change related to IT implementations and upgrades.
- Understand the Globalisation of IT Services and its implications for investment operations.
Introduction to Securities and InvestmentReal unit · Chartered Institute for Securities & Investment
You'll gain foundational knowledge of the UK financial services industry, including its structure and key investment distribution channels. The unit covers the economic environment, financial assets and markets, company formation, and distinctions between private and public companies.
What you'll be able to do
- Understand the financial services industry and the key investment distribution channels within it, distinguishing between retail and professional business.
- Understand the economic environment and its impact on financial markets.
- Understand Financial Assets and Markets, including their characteristics and functions.
- Understand how a company is formed and the differences between private and public companies.
- Understand the main types of bonds and the advantages and disadvantages of investing in different types of bonds.
- Understand the major types of derivatives and their uses.
- Understand the different types of investment funds and their investment strategies.
- Understand financial services regulation and its application to investment products and services.
- Understand investment wrappers, taxation and trusts and their implications for investors.
- Understand other retail financial products: loans, mortgages and life assurance and their features.
Managing Cyber SecurityReal unit · Chartered Institute for Securities & Investment
You'll understand the nature of cybercrime and its specific threats within the financial services industry. The unit covers cybercrime types, associated risks, potential financial losses, and methods for managing cyber security effectively.
What you'll be able to do
- Understand the nature of cybercrime and its specific threats within the financial services industry.
- Analyse the associated risks stemming from cybercrime in the financial services sector.
- Evaluate methods for effectively managing cyber security risks within financial organisations.
OTC Derivatives AdministrationReal unit · Chartered Institute for Securities & Investment
This unit provides learners with knowledge of OTC derivatives, including their history, key characteristics, and pricing factors. You'll understand forward rate agreements, swaps, OTC options, and related risk and finance issues.
What you'll be able to do
- Define terms relevant to derivatives trading in the context of the history of derivatives trading
- Understand forward rate agreements
- Understand swaps
- Understand the key characteristics of OTC options
- Understand other principal derivative products
- Understand the factors affecting the pricing of OTC derivatives
- Understand the basics of risk theory
- Understand the finance issues relating to OTC derivatives
- Understand the accounting issues relating to OTC derivatives
- Understand the regulatory issues relating to OTC derivatives
- Understand the operational context of OTC derivatives
Operational RiskReal unit · Chartered Institute for Securities & Investment
You'll gain knowledge of operational risk and its management within organisations, alongside fundamental principles of credit and market risk. The unit covers causes, events, impacts, and the operational risk cycle, as well as support and control functions and risk management objectives.
What you'll be able to do
- Understand the fundamental principles of risk management.
- Understand the nature and management of credit risk.
- Understand the nature and management of market risk.
- Understand the nature of operational risk within an organisation.
- Understand the causes, potential events, and impact of operational risk incidents.
- Understand the stages and components of the operational risk cycle.
- Understand the role of support and control functions in managing operational risk.
- Understand the objectives and challenges associated with Enterprise Risk Management (ERM).
- Understand the context and application of common standards and protection measures in operational risk management.
Pensions AdministrationReal unit · Chartered Institute for Securities & Investment
This unit covers the concepts and processes involved in administering various types of pension plans. You'll define pension plan types, explain key administration concepts, and describe the roles of parties involved in pension plan management.
What you'll be able to do
- Understand the concepts required to administer various types of pension plans
- Understand the processes required to administer various types of pension plans
- Understand the concepts required to administer new pension plans
- Understand the processes required to administer new pension plans
- Understand the concepts required to administer existing pension plans
- Understand the processes required to administer existing pension plans
Platforms, Wealth Management and Service ProvidersReal unit · Chartered Institute for Securities & Investment
You'll understand the services offered by platforms, wealth managers, and related outsource service providers in the financial services industry. The unit covers different platform types, services to advisors and clients, and the benefits and limitations of platform use.
What you'll be able to do
- Understand the range of services offered by Platforms in the financial services industry.
- Understand the services provided by Wealth Managers.
- Understand the role and services of related Outsource Service Providers within the financial services sector.
Principles of Financial RegulationReal unit · Chartered Institute for Securities & Investment
This unit provides learners with knowledge of the UK financial regulatory environment, including key legislation such as the Financial Services and Markets Act 2000. You'll understand the roles of regulatory bodies and relevant EU directives.
What you'll be able to do
- Understand the main features of the UK regulatory environment for financial services
- Understand the purpose and key provisions of the Financial Services and Markets Act 2000
- Understand associated legislation and regulation relevant to financial services
- Understand relevant European Union Directives impacting financial services regulation in the UK
- Understand the key principles of the FSA Conduct of Business Sourcebook and its application
- Understand the regulations relating to Client Assets
Principles of UK Financial RegulationReal unit · Chartered Institute for Securities & Investment
You'll develop a solid understanding of the principles underpinning UK financial regulation. The unit covers the regulatory environment's features and objectives, the Financial Services and Markets Act 2000, associated legislation, and the FCA Conduct of Business Sourcebook.
What you'll be able to do
- Understand the key features and objectives of the UK financial regulatory environment.
- Explain the purpose, scope and implications of the Financial Services and Markets Act 2000.
- Understand the relevant associated legislation and regulations that govern financial services in the UK.
- Interpret the key requirements of the FCA Conduct of Business Sourcebook (COBS) and rules relating to Client Assets.
Risk in Financial ServicesReal unit · Chartered Institute for Securities & Investment
You'll develop an understanding of risk management frameworks within financial services, including corporate governance's role in risk oversight. The unit covers risk-related regulations and policies, and various types of risk such as operational, credit, market, and investment risk.
What you'll be able to do
- Understand the fundamental principles of a risk management framework within financial services.
- Understand the role of corporate governance in overseeing and managing risk.
- Understand the key risk-related regulations and policies applicable to financial services organisations.
- Understand the nature and management of operational risk.
- Understand the nature and management of credit risk.
- Understand the nature and management of market risk.
- Understand the nature and management of investment risk.
- Understand the nature and management of liquidity risk.
- Understand the principles and application of Enterprise Risk Management (ERM).
Risk in Financial ServicesReal unit · Chartered Institute for Securities & Investment
You'll gain a thorough understanding of business risk principles and key risks within the financial services industry. The unit covers risk identification, management, and reduction, including credit, market, and operational risks.
What you'll be able to do
- Understand the general principles of business risk management
- Understand the key risks that arise within the financial services industry
- Understand the approaches used to identify risks in financial services
- Understand the approaches used to manage risks in financial services
- Understand the approaches used to reduce risks in financial services
Technology in Investment ManagementReal unit · Chartered Institute for Securities & Investment
You'll gain a thorough understanding of the role of technology in investment management. The unit covers technology's application in decision-making, portfolio and risk management, regulatory requirements, and the functional flow of financial instruments.
What you'll be able to do
- Describe the role of technology in investment management.
- Understand the regulatory framework governing the use of technology in investment management.
- Explain how technology supports the functional flow of financial instruments.
- Describe the role of technology in trade capture processes.
- Explain the role of technology in the pre-settlement phase of investment transactions.
- Explain the role of technology in the settlement and post-settlement phases of investment transactions.
- Analyse the impact of technology on financial control within investment management firms.
- Understand the principles of technology management in an investment management context.
- Describe the key considerations in managing business change related to technology implementation.
- Understand the process of technology services procurement in the investment management industry.
Transfer Agency Administration and OversightReal unit · Chartered Institute for Securities & Investment
This unit equips learners with a thorough understanding of transfer agency administration and oversight. You'll explore the transfer agency framework, regulations, product offerings, risk management, operational management, distribution, and compliance.
What you'll be able to do
- Describe the Transfer Agency (TA) Framework
- Describe the Regulatory Framework relevant to Transfer Agencies
- Identify the different Products offered by Transfer Agencies
- Explain how to manage the Risk of Financial Crime within a Transfer Agency
- Describe how to manage TA Operations
- Explain Distribution, Front and Ongoing Charges related to Transfer Agency services
- Describe Customer and Investor Relations within a Transfer Agency
- Explain Compliance and Oversight within a Transfer Agency
Transfer Agency Administration and OversightReal unit · Chartered Institute for Securities & Investment
You'll develop an understanding of transfer agency administration and oversight. The unit covers the transfer agency framework, regulatory requirements, product offerings, risk management, operations, charges, customer relations, and compliance.
What you'll be able to do
- Describe the Transfer Agency (TA) Framework
- Describe the Regulatory Framework relevant to Transfer Agencies
- Identify the different Products offered by Transfer Agencies
- Explain how to manage the Risk of Financial Crime within a Transfer Agency
- Describe how to manage TA Operations
- Explain Distribution, Front and Ongoing Charges related to Transfer Agency services
- Describe Customer and Investor Relations within a Transfer Agency
- Explain Compliance and Oversight within a Transfer Agency
Transfer Agency Administration and OversightReal unit · Chartered Institute for Securities & Investment
You'll develop an understanding of the Transfer Agency framework, including the products and services offered. The unit covers management of Transfer Agency operations, client money and asset regulations, registration, settlement, dealing, distributions, corporate actions, investor relations, and risk controls.
What you'll be able to do
- Understand the overall framework within which a Transfer Agency (TA) operates.
- Understand the range of products and services offered by a Transfer Agency.
- Understand the key processes involved in managing Transfer Agency operations effectively.
- Understand the regulations and procedures relating to Client Money & Assets within a Transfer Agency.
- Understand the processes involved in registration and settlement of transactions within a Transfer Agency.
- Understand the dealing processes undertaken by a Transfer Agency.
- Understand the handling of distributions and corporate actions by a Transfer Agency.
- Understand the importance of investor relations and communication within a Transfer Agency.
- Understand the key risks and controls associated with Transfer Agency operations.
UK Financial RegulationReal unit · Chartered Institute for Securities & Investment
You'll gain knowledge of the UK financial services regulatory environment, including key legislation such as the Financial Services and Markets Act 2000. The unit covers regulatory bodies, the FCA Conduct of Business Sourcebook, and customer complaints and redress.
What you'll be able to do
- Understand the financial services regulatory environment in the UK
- Understand the Financial Services and Markets Act 2000
- Understand Associated Legislation relevant to financial services
- Understand Regulation relevant to financial services
- Understand the FCA Conduct of Business Sourcebook
- Understand the regulations relating to Client Assets
- Understand the procedures for handling Customer Complaints
- Understand the processes for Customer Redress
The honest bit
You’ve started things before
Most courses were built for a room full of people who aren’t you. A cohort moves on whether or not your week allowed it, and by the third week the thing you’re behind on becomes the reason you stop opening it.
There’s no cohort here, and no timetable to fall behind. Before anything starts, Zavmo asks when you’re sharpest and how long you can realistically sit down for, then builds the sessions around those answers. A bad fortnight changes your pace. It doesn’t put you behind.
And you only pay once you start learning. Searching and planning are free, and you can cancel any time — so the cost of finding out is an afternoon, not a year.
Your passport
Every credit is a stamp you keep
Level 3 credits are regulated. They don’t vanish when a subscription ends or a website closes. They travel to any employer, and Zavmo keeps the map of what you’ve earned and what’s next.
Administration of Settlement & InvestmentsAsset ServicingClient Money and AssetsCollective Investment Schemes AdministrationCombating Financial CrimeCombating Financial CrimeCrest SettlementDerivative Operations
Each stamp is a real unit registered against this qualification.
Who’d teach you this
The Evidence Evaluator
Assessor
Helps you show what you can actually do, gathering the evidence that proves it as you learn.
Meet all twelve tutorsWhere this connects
Where these credits take you
A qualification is never a dead end here. See the jobs its credits open, the national occupational standards its units map to, and the future skills they quietly build.
CISI Level 3 Certificate in Investment Operations
- Analyse and interpret individual or corporate client investment objectives
- Analyse the regulatory requirements and principles that impact on the design or revision of a Training and Competence Scheme
- Analyse the risk and return profile of asset types
- Assess risks for a financial services organisation
- Assist in developing the compliance culture of your organisation
- Assist senior management in ensuring that staff at your organisation comply with anti-money laundering and countering terrorist financing measures
- Charge and control securities for financing
- Co-ordinate and Oversee Contracts with Service Providers
Where this can lead
Operational Risk Manager
Your journey as an Operational Risk Manager is a critical step towards becoming a true leader in financial services. Whether you choose to climb the management ladder, become a deep specialist, or transition into advisory, the strategic thinking, leadership, and resilience you build here will be invaluable for a long and impactful career.
See the whole journey →Opens the roleOperational Risk ManagerOne of the jobs this qualification is a route intoSee the role →Opens the roleOperational Risk SpecialistOne of the jobs this qualification is a route into · 2 near-identical records folded inSee the role →Opens the roleAssociate Operational Risk AnalystOne of the jobs this qualification is a route into · 3 near-identical records folded inSee the role →Opens the roleOperational Risk AnalystOne of the jobs this qualification is a route into · 3 near-identical records folded inSee the role →Opens the roleGlobal Compliance OfficerOne of the jobs this qualification is a route intoSee the role →Opens the roleJunior Global Compliance OfficerOne of the jobs this qualification is a route intoSee the role →Future FluencyAll ten future skillsSee how every unit is contextualised by the tenExplore →
Showing 6 roles, drawn from 452 job records mapped to this qualification.
Skills it covers
What the job actually needs. These are the standards the units are built against, in the words employers and awarding bodies already use for the work itself.
Analyse and interpret individual or corporate client investment objectivesAnalyse the regulatory requirements and principles that impact on the design or revision of a Training and Competence SchemeAnalyse the risk and return profile of asset typesAssess risks for a financial services organisationAssist in developing the compliance culture of your organisationAssist senior management in ensuring that staff at your organisation comply with anti-money laundering and countering terrorist financing measuresCharge and control securities for financingCo-ordinate and Oversee Contracts with Service ProvidersCommunicate and implement the anti-money laundering and countering terrorist financing policy with the organisationConstruct a risk profile for a proposed portfolio changeDesign an Anti-Money Laundering and Countering Terrorist Financing Policy for Your OrganisationDevelop a compliance culture within your organisationDevelop a risk profile for a financial services organisationDevelop an investment strategy to meet agreed investment objectivesDevelop and maintain relationships relevant to risk management in a financial services organisationDirecting Information Risk Assessment and ManagementEnsure an effective risk architecture is in place for a financial services organisationEstablish the investment objectives of an individual or corporate client+18 more
How you’ll actually learn this
One-to-one, on your own real work
A qualification is usually something done to you: sit the class, sit the exam, hope it sticks. Here it’s the opposite. You learn it one-to-one with a companion, on your own real work, and you keep going until you can use it, not just recall it.
One-to-one, on your real workNo lectures, no past-papers. Every unit is practised on the actual tasks your job throws at you, a tutor beside you, not a video in front of you.
Taught to the top, not the testMost courses stop at remembering. Your companion keeps climbing: analysing, judging, creating. That’s the part a machine can’t do for you.
Credits you keep, a map that continuesEvery unit is regulated and yours for good. The day you finish, Zavmo already knows the next role your new credits open.
Applied to your work in any of these jobs
Which job do you mean?
Learners will understand the administration of settlement and investments within the retail investment sector. The unit covers client asset regulations, data and record keeping, settlement processes, corporate actions, and tax-incentivised savings.
How the thinking builds
- Remember
- Understand
- Apply
- Analyse
- Evaluate
- Create
Built for CISI Level 3 Certificate in Investment Operations
26 units in this credential, in the order it lists them, awarded by Chartered Institute for Securities & Investment.
- Administration of Settlement & Investments
- Asset Servicing
- Client Money and Assets
- Collective Investment Schemes Administration
- Combating Financial Crime
- Crest Settlement
and 20 more in the full unit list below.
One to one, not one to many
No two people run this the same way
A course is written once and handed to everyone. This is assembled around you, and keeps changing as it learns you. Five things it reads, and what each one changes.
- Your actual work Every unit is taught against a live piece of your own work, not a worked example from a textbook.
- What you already know The first conversation finds your starting point, so you skip what you can already do and spend the time on what you cannot.
- The conditions you learn under Not a learning-styles quiz. The evidence does not support those. The dimensions the research does back, read once and used to shape the plan.
- How far you got last time It picks up mid-thought. The tutor knows what you said, what you struggled with, and what it asked you to try.
- Which tutor suits the moment Twelve of them, each for a different kind of thinking. The one who walks you through a first idea is not the one who stress-tests it.
See how you learn, free. Eight questions, no sign-up. A directional taster; the diagnostic inside Zavmo goes deeper and keeps adapting.
Why it sticks
Most courses stop at remembering
There’s a well-known ladder of how deeply you learn something, called Bloom’s Taxonomy. Most courses get you up the first two rungs: you remember some facts, you pass a test, you forget it. Real skill lives at the top. Judging, deciding, creating. And this isn’t a generic ladder: every rung has a named Zavmo tutor who walks you up it.
- 6CreateThe Creative Catalyst
- 5EvaluateThe Evidence Evaluator
- 4AnalyseThe Analyst
- 3ApplyThe Coach
- 2UnderstandThe Connector
- 1RememberThe Builder
Where most courses leave you Where Zavmo takes you
Why this matters: AI can already remember and understand for you. What it can’t do is
take your real problem and judge the right call. So the only learning worth paying
for is the learning that takes you to the top. That’s exactly what a tutor doing it with
you, on your real work, is for.
The value
Why the companion is worth £70 a month
You’re not paying for the units. They’re regulated, and the same wherever you earn them. You’re paying for the one thing that decides whether you actually get there: a companion that makes them stick, on your real work.
That is one-to-one on this qualification, every day, on the work you already do, for £70 a month. Your first module is free, so you can see the teaching before you pay for any of it. Billed monthly, cancel any time and billing stops.
Earned on your own work, taught to the top.
Everything you just read, learned one-to-one on the job you already do. Your first module is free, so you can see the teaching before you pay for any of it.
Build my plan, freeNo card. See how this qualification maps onto your role and meet the tutors who’d teach it, free. The learning begins when you subscribe. It’s £70 a month, billed monthly. Cancel any time and billing stops.