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Certificate in Investment Operations

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Building operational expertise in investments

The level 3 Certificate in Investment Operations provides essential knowledge and skills for those working in a range of administrative and operational investment roles.

The Certificate satisfies the FCA qualification requirements for overseers of administration and operational functions.

Who’s it for?
  • Those working in collective investment scheme administration, individual savings account administration, and investment client servicing
  • Anyone moving in to an administrative overseer role needing to comply with FCA appropriate qualification requirements

Before studying, check to see whether any of your previous academic qualifications or credits from other professional bodies and institutes can be carried towards completion of the Certificate.

Find out more about recognition of prior learning

Specific study time guidelines are provided for each unit on its webpage and in the CII qualifications brochure. The notional Ofqual ‘Total Qualification Time’ for this qualification is 130 hours. This represents the time a student might typically take to complete the qualification.

Certificate level units are a assessed by multiple choice question (MCQ) exams. For online MCQ exams, results notification is immediate on completion. For paper-based MCQ exams, results are released five weeks' following the exam sitting.

Find out more about assessments, including policies and exam centres

Qualification units are delivered through purchasing an Enrolment, equipping you with the essential materials to support core learning. For a single fee, an Enrolment typically includes: study text, assessment and access to RevisionMate, our online study tool. 

We also offer additional revision aids through purchasing Enrolment plus for most key units. These range from Key fact booklets and Question packs, to Learn online tutorials.

Due to the extent of syllabus overlap, certain combinations of current and withdrawn units will result in only one award of credits.

If a withdrawn equivalent is held you may not need to complete a current unit in order to satisfy a qualification's completion rules. Clarification should always be sought from CII Customer Service.

Find out more about credit awards for equivalent units

Useful links
Download the brochure

Completion requirements

Core units

The Certificate comprises one core unit and one option unit, providing a total of at least 25 credits on successful completion. There is no prescribed order in which units must be taken, but it is strongly recommended that you sit the core unit first as these provide foundation knowledge upon which the others build.

Unit
Credits
Level
 
R01
Financial services, regulation & ethics
OR Information
Credits : 20
Level : 4
Learn more Learn more
OR
CF1
UK financial services, regulation & ethics
Credits : 15
Level : 3
Learn more Learn more
Option units

Choose one of the following units:

Please note - FA4 and FA6 will be withdrawn on 31st August 2019. Those wishing to complete either unit must pass the exam by this date. Qualifications and credits achieved via FA4 and FA6 will be valid post withdrawal. Following this date, the Certificate will comprise two core units: R01 or CF1, and FA5.

Unit
Credits
Level
 
FA4
Collective investment scheme administration
Credits : 10
Level : 3
Learn more Learn more
FA5
Individual savings accounts administration
Credits : 10
Level : 3
Learn more Learn more
FA6
Investment client servicing
Credits : 10
Level : 3
Learn more Learn more

The Personal Finance Society is part of the Chartered Insurance Institute group.

Find out more
Contact us

Personal Finance Society
42-48 High Road 
South Woodford 
London
E18 2JP 

Tel: +44 (0)20 8530 0852
Email: customer.serv@thepfs.org

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