CISI – Investment Operation Certificate (IOC)

Level 3 Certificate in Investment Operations

What is the IOC?
The IOC is the CISI’s most established qualification and is taken by practitioners globally to enhance their knowledge and skills of the administration and operations areas of the financial services industry.

 IOC qualification will provide you with an overview of the financial services industry and its regulation, whilst also covering technical activities which are relevant to the area in which you work. It can be achieved by passing any three units from an offering of more than 16 introductory, regulatory and technical units, providing you with great flexibility. You can choose what you want to study and you can study at a time and pace which is convenient.

The IOC is one of our most popular qualifications and is taken in over 50 countries. Completing the IOC demonstrates professionalism and commitment to high standards and offers access to higher-level qualifications and career progression.

Who should study for the qualification?

The IOC is the first step in the CISI’s operations qualification pathway and is suitable for all staff working in, or aspiring to work in, the administration and operations areas of financial services. The qualification is increasingly used as a benchmarking tool by major banks and investment firms to ensure that staff possess practical knowledge which can be immediately applied to business activities.

For help deciding which qualification is right for you:

Level 2

Fundamentals of
Financial Services

Level 3

Introduction to
Foundation Qualifiction

Introduction to

Level 4


IT in Investment

Level 5

Operational Risk
in Financial
Institute +

Level 6

Certificate in
Global Securities
Operations +

Level 7

Diploma In Investment Operations

Qualification Structure : (How to achieve the IOC)

To achieve the full IOC, candidates must complete any three units from the available “IOC Qualification” Modules (listed below).

A typical path to completing the IOC looks like the following:

  • Introduction To Securities & Investments
  • 1 x Regulatory Unit
  • 1 x Technical Unit

A typical path for somebody outside the UK and interested in taking the “IOC Qualification” may look like

  • International Introduction To Securities & Investments OR Introduction to Securities and Investment
  • 2 x Technical Units

Introductory Units (Any – 1)

Subject Actual Costing
Introduction to Securities and Investment £205
International Introduction to Securities and Investment £205

Technical units – (Any 2 – Your choice of technical units)

Subject Actual Costing
Asset Servicing £205
Collective Investment Schemes Administration £205
Combating Financial Crime £205
Derivatives Operations £205
Global Financial Compliance £205
Global Securities Operations £205
IT in Investment Operations £205
Managing Cyber Security £205
Operational Risk £205
Platforms, Wealth Management and Service Providers £205
Client Money and Assets £205
Pensions Administration £205
Risk in Financial Services £205

“Students enrolled with Excelligent India will get special discount on the above 3 exams to qualify for IOC”.

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