While some people seem to be content being in a back office role doing regular processing jobs, there are others who want to break away from that monotony and aim for the Investment Operations Certificate or IOC. Operations, Information Technology, and Risk Management were once just stepping stones on the way to a trading desk. Now they’re career choices. There are many ways to advance in the industry. If you’re in operations, risk, or I.T., perhaps this is the best way.

1. The Advantages of Acquiring the
Investment Operations Certificate
(IOC) from CISI
By Sean Ring MCSI
http://SeanRing.com
Sean@SeanRing.com

2. Introduction to the IOC
• While some people seem to be content being in a back
office role doing regular processing jobs, there are
others who want to break away from that monotony
and aim for the Investment Operations Certificate or
IOC.
• Operations, Information Technology, and Risk
Management were once just stepping stones on the
way to a trading desk. Now they’re career choices.
• Ambitious individuals within those groups are starting
to realize this and are eager to learn everything they
can to become proper problem solvers who add value
to their respective groups.

3. The IOC Explained (1 of 2)
• Previously known as the Investment Administration
Qualification (IAQ), this certification serves as a
qualifying stage for candidates who aspire to
noteworthy careers in a financial institution.
• The objective of this qualification is to prepare the
individuals for their duties and responsibilities in their
future work assignments, making sure that they can
function well and measure up to the expectations of
the industry.
• Developed by industry practitioners, this certification
aims to set the standards in the work place.

4. The IOC Explained (2 of 2)
• According to the Chartered Institute for
Securities and Investment, at least 10,000
candidates are taking these qualifying exams
per year.
• Whether one is a finance course graduate or
already working in the industry, taking the
certification exams and passing them is a one
way to maximize your chances for a fulfilling
career.

5. Advantages of Acquiring a Certification
(1 of 5)
• The chance to become more marketable in
the industry is quite tempting for those
employees in operations, risk, or I.T.
• In fact, many financial training companies like
7city Learning Centre are accredited to help
them achieve a passing mark on their exams.
• On the following slides are some of the
reasons why you should obtain a
certification…

6. Advantages of Acquiring a Certification
(2 of 5)
• To Become Better Equipped for the Job
– Given that the exams are inspired by real-life work
situations (the questions are developed by senior
practitioners), you’re guaranteed to learn the
ropes of the industry with more ease.
– Your previous experience is important, but this is a
chance to learn from others without leaving your
current job.

7. Advantages of Acquiring a Certification
(3 of 5)
• To Advance Your Career
– If you’re trying to get a promotion, this is a great
way to demonstrate your dedication to your
employer.
– Many of them are now putting much importance
on this qualification as the new standard for
admitting people to management positions.
– It simply reflects your understanding of the job
and the responsibilities it involves.

8. Advantages of Acquiring a Certification
(4 of 5)
• To Become Globally Competitive
– Perhaps you’d like to work abroad one day?
– A globally recognized qualification wouldn’t go
amiss.
– According to CISI, 40% of these exams are taken
abroad.
– This only reaffirms its significance in the banking
industry.

9. Advantages of Acquiring a Certification
(5 of 5)
• Open Doors to More Prospective Employers
– The good thing about being certified for a job is
that it can lead you to more job opportunities.
– You can be flexible with just about any jobs
relating to investment banking operations.
– Many employers these days are only looking for
applicants who’ve earned the Investment
Operations Certificate.

10. Conclusion
• There are many ways to advance in the industry.
• If you’re in Operations, Risk, or I.T., perhaps this is the
best way.
– Some try to take exams that are too difficult for those with
no background in economics, finance, or accounting.
• The IOC is an exam developed by industry practitioners
and it’s lighter on theory.
– It’s also less expensive than other industry exams.
• It’s perfect for an ambitious worker in banking who
seeks an understanding of what his job is, why his job is
important, and how to advance within the profession.