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Investment operations administrator

Investment operations administrator

Level 2 - Technical Occupation

Providing operational and administrative support in investment management teams.

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Summary

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

Green themes

Financial and Professional Business Services

Typical job titles include:

Finance Worker

Keywords:

Banking
Client Reporting
Compliance
Corporate Actions
Financial Services
Funds
Money
Securities

Knowledge, skills and behaviours (KSBs)

K1: 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.
K2: 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.
K3: Products: 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.
K4: 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.
K5: 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.

S1: 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.
S2: Communication: Demonstrates sound written and verbal communication skills with both clients and colleagues.
S3: Team working & collaboration: Participates in team activities. Develops awareness of their role within team & impact on others.
S4: 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.
S5: 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.

B1: Honesty & Integrity: Truthful, sincere in their actions and does the right thing (even when not the easiest). Handles client information confidentially.
B2: Adaptability: 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.
B3: Enthusiasm: Shows drive and energy in their work, when things are going well and when challenges arise.

Occupational Progression

This occupational progression map shows technical occupations that have transferable knowledge and skills.

In this map, the focused occupation is highlighted in yellow. The arrows indicate where transferable knowledge and skills exist between two occupations. This map shows some of the strongest progression links between the focused occupation and other occupations.

It is anticipated that individuals would be required to undertake further learning or training to progress to and from occupations. To find out more about an occupation featured in the progression map, including the learning options available, click the occupation.

Progression decisions have been reached by comparing the knowledge and skills statements between occupational standards, combined with individualised learner movement data.

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