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Investment operations technician

Investment operations technician

Level 3 - Technical Occupation

Supporting teams that carry out investment transactions on behalf of individuals or organisations.

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Summary

Investment Operations Technicians work within the operational and administrative areas of businesses in the Financial Services sector that engage in investment management, trading and reporting activities. Transactions in these businesses can range in size from hundreds of pounds to hundreds of millions of pounds. 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, and investment consulting and investment administration businesses. The majority of work at this level would be non-complex but requiring high standards of accuracy, proficiency and responsibility. Typical activities that may be carried out by a fully competent employee include, but are not limited to: Investment transaction matching, confirmation and settlement Portfolio valuation Portfolio cash reconciliation and management Corporate actions processing Preparation of internal and client investment reports Processing significant changes to portfolios as instructed by clients or their authorised agents

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: Broad understanding of the role and structure of the Financial Services industry, the role and purpose of markets and the principles of investing.; the role of the function in which they work and how this role relates to other support functions within the organisation and corresponding banks and firms.
K2: Regulatory & compliance: Understands the Financial Services regulatory framework and how the relevant rules and principles apply to their own role and within their team. Has a good understanding of market and operational risks that may impact their role, departmental activities, the organisation, clients and industry counterparties. Understands what constitutes appropriate market, business and personal conduct.
K3: Products: Good understanding of the purpose & technical content of the financial instruments and/or products supported by the role, including the client need that is met by the product.
K4: Systems & processes: Proficient in the IT skills, systems and processes required to deliver the role outcomes. Aware of how these support and fit within the corresponding markets and counterparty organisations. Able to conduct an entire process independently with reliable results.
K5: Client Service and Relationships: Knows the principles/tools of excellent client service and company standards required in their role. Understands the service requirements between markets, counterparties and different types of clients.

S1: Service delivery: Capable of performing non- complex tasks to consistently high standards of client service, timeliness, accuracy and attention to detail. For example, ensures the timely preparation and accuracy of computerised cash position, valuation, and client reports; monitors and processes the timely allocation of investment income to client account; Ensures that client instructions relating to increasing or liquidating their investments are communicated and processed promptly. Manages own workload and adheres to agreed systems and processes. Meets required risk, regulatory and governance requirements.
S2: Communication: Demonstrates high quality written and verbal communication skills with both clients and colleagues. Builds and maintains good relationships with clients and counterparties. Handles everyday situations and issues that arise within the context of their job role. Ensures transactions arising from corporate actions are correctly communicated and allocated to client accounts.
S3: Team working & collaboration: Consistently supports colleagues and contributes towards making improvements and efficiencies. Aware of their role within the team, how their team fits within the business, and the impact of team decisions impacts on internal and external clients.
S4: Ownership & Initiative: Takes ownership for delivery in their area of responsibility. Finds ways to progress and resolve non-complex issues, adopting alternative approaches where appropriate. Escalates decisions and issues swiftly when necessary.
S5: Personal development: Participates proactively in planning and recording their development activities; responds positively to feedback from colleagues. Keeps up to date with changes in all areas of the role; shows commitment to the job and the industry.

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.
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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