The qualification for new entrants to the industry The Advanced Certificate in Operational Risk – the programme for individuals operating in roles where an understanding of operational risk issues will be of benefit.
The SII Diploma – the Institute’s programme for individuals aspiring to senior practitioner status.
Qualifications on the Financial Services Skills Council list
Qualifications for those aspiring to senior practitioner status
SII CPD Scheme
National Qualifications Standard Framework
The SII is widely acknowledged as the main provider of qualifications for the securities and investment industry. It offers a wide ranging programme of qualifications for employees working in – or aspiring to work in - the financial services industry. The qualifications range from Introduction to Investment for new recruits to the industry, to the SII Diploma – the qualification for senior practitioners.
Many SII qualifications are regarded as the ‘licence to practice’ for certain industry sectors – that is a qualification on the Financial Services Skills Council’s list of Appropriate Examinations that an employee has to hold before they are permitted to undertake a particular activity unsupervised. The information below summarises the aim of each SII qualification. SII qualifications are developed and quality assured by practitioners from the industry.
The qualification for new entrants to the industry
Introduction to Investment – for individuals looking for a career in the financial services industry who want to understand the breadth of the industry: the regulatory foundation, how the industry works and the basics of the various financial instruments – shares, bonds, derivatives.
Successful completion of the Introduction to Investment leads to Affiliate Membership of the Institute.
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Qualifications on the Financial Services Skills Council Appropriate Examinations list.
The SII Certificate programme – the qualifications for staff engaged in:
- Advising and dealing in securities (the Certificate in Securities);
- Advising and dealing in securities and financial derivatives (Certificate in Securities and Financial Derivatives or the Certificate in Securities together with the Financial Derivatives unit);
- Advising and dealing in derivatives (Certificate in Derivatives);
- Managing investments (Certificate in Investment Management);
- Corporate Finance (Certificate in Corporate Finance).
The IAQ – the Investment Administration Qualification – the programme for staff engaged in administrative/operations and ‘overseeing’ roles.
Successful completion of one of these qualifications leads immediately to Associate Membership of the Institute.
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Qualifications for those aspiring to senior practitioner status
The Diploma in Investment Compliance – the qualification for individuals seeking a career in the compliance function.
The Diploma in Investment Operations – the qualification for individuals aspiring to senior roles in operations.
The higher level of learning demonstrated throughout the SII Diploma qualifications is recognised formally by immediate access to full member status of the Institute MSI.
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SII CPD Scheme
Studying for and sitting SII examinations earns members of the Institute CPD hours under the SII CPD Scheme
Exam sessions are automatically recorded on the CPD logs of registered users. All SII examinations fall under the active learning category. The hours awarded correspond to the length of the examination, but a pass in the exam will quadruple these hours, in recognition of the amount of preparation needed. For further information, please email us at siicpdscheme@sii.org.uk
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