Overview of the role

Providing operational and administrative support in investment management teams.

Investment operations administrator

Reference Number: ST0179

Details of standard

Role / Occupation

Investment Operations Administrator


Investment Operations Support staff work within the operational and administrative areas of businesses in the Financial Services sector that engage in investment management, trading and reporting activities. The support structure underpinning these activities is substantial and varied, with a domestic and global client base of institutional and retail clients that include private individuals, small businesses, collective investment schemes, pension funds, charities, corporations and governments.

The Role

This role typically sits within the Operations areas of stock exchanges, stockbrokers, investment managers, banks, financial advice and wealth management firms, investment consulting and investment administration businesses. A fully competent employee at this level will be capable of performing routine, non-complex tasks in these businesses. Typical activities that may be carried out by a fully competent employee include, but are not limited to:

  • Reconciliation of investment records
  • Data entry
  • Investigating missing or inaccurate data
  • Compliance and money laundering checks
  • Researching information towards investigative activities and projects
  • Processing correspondence



What is required

Industry and company understanding

Basic understanding of the purpose and structure of the Financial Services industry, the organisation and its function within the industry, and the role in which they work.

Regulatory & compliance

Broad understanding of the purpose and relevance of the Financial Services regulatory framework to their organisation, their own role and within their team. Understands the basic principles of the legal, regulatory and corporate risk/governance frameworks and how these apply to their role. Able to identify emergent risks in the course of own work and that of the team.


Understands at a basic level the main types of the securities and investment products supported on behalf of clients,  and how their role provides this support

Systems & processes

Understands all systems, tools & processes required to deliver the role outcomes and is aware of the differences between the systems that are internal to the organisation, and those that are connected to external clients, counterparties, platforms or markets.

Client Service and Relationships

Knows the principles/tools of excellent client service and company standards required in their role. Able to conduct themselves in a professional manner at all times.


What is required

Service delivery

Follows agreed work plans to deliver required outputs to clients & colleagues, using agreed computerised /manual systems and processes. Meets internal standards (e.g. client service, accuracy, and attention to detail); meets required risk, regulatory and governance requirements.  For example comparing records from two or more sources; highlighting and reconciling any differences. Prompt investigation and appropriate notification of missing or inaccurate data. Checking that data and client information is compliant with regulatory requirements. Undertaking basic research to support investigative activities and projects.Sorting and routing correspondence to the correct departments. Administration of one element of a process, and/or focusing on a single type of financial product or instrument.


Demonstrates sound written and verbal communication skills with both clients and colleagues.

Team working & collaboration 

Participates in team  activities. Develops awareness of their role within team & impact on others.

Ownership & Initiative

Takes ownership for delivery in their area of responsibility.  Resolves non- complex issues when they arise, within agreed standards and parameters. Escalates decisions and issues swiftly and appropriately as necessary.

Personal development

Able to apply and make sense of new knowledge, skills and competences in a potentially new industry and organisational environment. Follows agreed Development Plans and records their own development; keeps up to date with changes in their role; shows commitment to the job, the team and the organisation.


What is required

Honesty & Integrity

Truthful, sincere in their actions and does the right thing (even when not the easiest).

Handles client information confidentially.


Willing to accept changing priorities and work patterns when new jobs need to be done or requirements change. Willing to seek assistance with prioritisation and workload.


Shows drive and energy in their work, when things are going well and when challenges arise


The duration of the apprenticeship will typically be 12 – 18 months


There are no mandatory qualifications for this apprenticeship.

The Assessment Plan contains suggested qualifications, that are provided by the Chartered Institute of Securities and

Investment (CISI), that employers can use to ensure robust technical knowledge.

Link to professional registration and progression

Completion of the suggested qualification puts the apprentice on the pathway towards professional membership of the Chartered Institute of Securities and Investment.

This apprenticeship is an entry level role appropriate for individuals with no prior work or industry experience.  It is focused on acquiring an appropriate work ethic and fundamental skills and understandings to enable performance of tasks that carry minimal financial or operational risk exposure. On completion of this apprenticeship, the employee will be fully competent in the role and this will form the foundation of a career in the sector. Depending on career opportunities offered by the employer, there is scope to progress to the Level 3 Apprenticeship where the qualifications available can lead to professional body membership.


This is a Level 2 apprenticeship

Review date

After 3 years or when significant change is required.

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Status: Approved for delivery
Level: 2
Reference: ST0179
Version: 1.0
Date updated: 27/08/2015
Approved for delivery: 27 August 2015
Route: Legal, finance and accounting
Minimum duration to gateway : 12 months (this does not include EPA period)
Maximum funding: £5000
LARS Code: 29
EQA Provider: Ofqual

Find an apprenticeship

Contact us about this apprenticeship

Employers involved in creating the standard: AON Hewitt, Charles Stanley Barnett, Waddingham LLP, Castlefield, JP Morgan, Mercer, BNY Mellon, International Financial Data Services, M&G Investments, Rathbones, Royal Bank of Scotland, Chartered Institute for Securities & Investments, CFA Institute

Version log

Version Change detail Earliest start date Latest start date Latest end date
1.0 Approved for delivery. The funding band for this standard has been reviewed and remains at £5000 Dec-2018) 27/08/2015 Not set Not set

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