FCA financial conduct authority Overseeing on a day-to-day basis administrative functions in relation to managing investments Qualification Success Story As the Financial Conduct Authority (FCA) is well aware, the Financial Services industry is constantly evolving and in order to keep up with this development it is important that individuals are up to date with the latest trends. This was recognised by FCA employee Peter Harkness, who works at their Edinburgh office as an Investment Operations Supervisor. He oversees on a day-to-day basis administrative functions in relation to managing investments, such as unit trusts and OEICs. This involves organising and distributing information for sales support teams, research teams and investment managers. In order to develop his skillset further, Peter decided to complete the Level 4 Certificate in Investment Operations from Stonebridge Associated Colleges. "I have been working in the industry for around 25 years, but I wanted to obtain a qualification that would give me a more detailed understanding of the sector," says Peter. "I also wanted a qualification that would allow me to gain additional insight into areas that fall outside my current role." The course was very beneficial for Peter as it allowed him to develop his knowledge of various aspects of finance that he didn't come across much while working Qualification: FCA financial conduct authority Job Role: Overseeing on a day-to-day basis administrative functions in relation to managing investments
At the start of my career, I was working as an assistant investment manager, supporting five senior investment managers. My role involved overseeing on a day-to-day basis administrative functions in relation to managing investments. I would support the senior team with all aspects of the department’s client base including trade execution and account administration. In order to progress in my chosen career, I needed to complete the relevant qualifications and progressing through these meant that I could be considered for promotion. Qualification success story I enrolled onto both levels of the Chartered Insurance Institute (CII) qualification – Investment Advice Diploma and Advanced Investment Advice Diploma which included J04: Personal Investment Planning, AF4: Long Term Care and R05: Financial Protection. The study materials provided were very comprehensive, the CII exam papers are a good indication of what is required for the qualification exams and they also provide great practice questions. These helped me build up knowledge and prepare thoroughly for each exam, so that when it came to sitting them I felt confident that I was prepared.
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