- Follows agreed work plans to deliver required outputs to clients & colleagues, using agreed computerised /manual systems and processes. Meets internal standards (e.g. client service, accuracy, and attention to detail); meets required risk, regulatory and governance requirements. For example comparing records from two or more sources; highlighting and reconciling any differences. Prompt investigation and appropriate notification of missing or inaccurate data. Checking that data and client information is compliant with regulatory requirements. Undertaking basic research to support investigative activities and projects.Sorting and routing correspondence to the correct departments. Administration of one element of a process, and/or focusing on a single type of financial product or instrument.
- Demonstrates sound written and verbal communication skills with both clients and colleagues.
- Participates in team activities. Develops awareness of their role within team & impact on others.
- Takes ownership for delivery in their area of responsibility. Resolves non- complex issues when they arise, within agreed standards and parameters. Escalates decisions and issues swiftly and appropriately as necessary.
- Able to apply and make sense of new knowledge, skills and competences in a potentially new industry and organisational environment. Follows agreed Development Plans and records their own development; keeps up to date with changes in their role; shows commitment to the job, the team and the organisation.
- Basic understanding of the purpose and structure of the Financial Services industry, the organisation and its function within the industry, and the role in which they work.
- Broad understanding of the purpose and relevance of the Financial Services regulatory framework to their organisation, their own role and within their team. Understands the basic principles of the legal, regulatory and corporate risk/governance frameworks and how these apply to their role. Able to identify emergent risks in the course of own work and that of the team.
- Understands at a basic level the main types of the securities and investment products supported on behalf of clients, and how their role provides this support
- Understands all systems, tools & processes required to deliver the role outcomes and is aware of the differences between the systems that are internal to the organisation, and those that are connected to external clients, counterparties, platforms or markets.
- Knows the principles/tools of excellent client service and company standards required in their role. Able to conduct themselves in a professional manner at all times.
There are no mandatory qualifications for this apprenticeship.
- Truthful, sincere in their actions and does the right thing (even when not the easiest). Handles client information confidentially.
- Willing to accept changing priorities and work patterns when new jobs need to be done or requirements change. Willing to seek assistance with prioritisation and workload.
- Shows drive and energy in their work, when things are going well and when challenges arise
The duration of the apprenticeship will typically be 12 – 18 months
Professional Qualifications / Recognition
Completion of the suggested qualification puts the apprentice on the pathway towards professional membership of the Chartered Institute of Securities and Investment.
This apprenticeship is an entry level role appropriate for individuals with no prior work or industry experience. It is focused on acquiring an appropriate work ethic and fundamental skills and understandings to enable performance of tasks that carry minimal financial or operational risk exposure. On completion of this apprenticeship, the employee will be fully competent in the role and this will form the foundation of a career in the sector. Depending on career opportunities offered by the employer, there is scope to progress to the Level 3 Apprenticeship where the qualifications available can lead to professional body membership.
Originally published on Gov.uk, this information has been re-used under the terms of the Open Government Licence.";