Qualification Navigator Job CISI Qualification for threshold competence CISI Member status ACSI CISI Qualification for

career progression Diploma CISI Masters in Wealth Management CISI Member Status MCSI

Advising and/or dealing in equities and bonds/financial derivatives (wholesale/retail)

Certificate in
Securities/Certificate in Securities - Retail Certificate in SFD/Certificate in SFD Retail Certificate in Investment Management

Advising and/or dealing in derivatives (wholesale/retail)

Certificate in Derivatives/Certificate in Derivatives - Retail Certificate in Financial Derivatives Certificate in SFD/Certificate in SFD Retail Certificate in Commodity Derivatives Certificate in Investment Management

ACSI

Diploma

MCSI

Investment Analyst

Certificate in Securities/Certificate in Securities - Retail Certificate in Derivatives/Certificate in Financial Derivatives Certificate in SFD/Certificate in SFD Retail Certificate in Investment Management Certificate in Commodity Derivatives

ACSI

Diploma

MCSI

Asset management

Certificate in Investment Management

ACSI

Diploma (incl Investment Analysis & Fund

MCSI

Management)

Call Centre staff/Receptionists

Introduction to Investment International Certificate in Wealth Management

Affiliate ACSI

Certificate in Investment Management

ACSI

Commodities futures broking

Certificate in Commodity Derivatives Certificate in Derivatives

ACSI

Compliance

Diploma in Investment Compliance Certificate in Corporate Finance Certificate in Investment Management Certificate in Securities and Financial Derivatives Certificate in Securities ACSI ACSI Diploma

MCSI

Corporate Finance Custody [Safekeeping with administration]

MCSI

Customer services

Introduction to Investment - the Foundation Qualification International Certificate in Financial Advice

Affiliate ACSI

CISI Masters in Wealth Management

MCSI

Discretionary portfolio management/ private client asset management/ private client stock broking

Certificate in Investment Management Certificate in Securities - Retail Certificate in SFD Retail Certificate in Investment Management

ACSI

CISI Masters in Wealth Management

MCSI

Fund management

ACSI

Diploma (incl Fund Management & Investment Analysis paper)

MCSI

Induction Programme all levels of staff

Introduction to Investment - the Foundation Qualification International Certificate in Financial Advice IT in Investment Operations Certificate in Securities Certificate in Derivatives Certificate in Securities and Financial Derivatives Certificate in Investment Management

Affiliate ACSI

As appropriate

Information Technology Institutional sales

Affiliate ACSI

IAQ Diploma MCSI

Investment banking

Certificate in Investment Management

ACSI

Managing Investments

Certificate in Investment Management

ACSI

Operational risk

Overseeing roles [Administration/Operation s]

Advanced Certificate in Operational Risk IAQ: Introduction to Securities and Investment + Regulatory paper + appropriate technical module: Asset Servicing, Collective Investment Schemes Admin, CREST Settlement, Exchange-Traded Derivatives Admin, Global Securities Operations, ISA & PEP Admin, IT in Investment Operations, Operational Risk, OTC Derivatives Admin, Private Client Admin

ACSI

ACSI

Diploma incl Fund Management & Investment Analysis Diploma CISI Masters in Wealth Management Diploma in Investment Operations Diploma in Investment Operations Advanced Certificate in Operational Risk Advanced Certificate in Global Securities Operations Advanced Certificate in Investment Schemes Administration

MCSI

MCSI

MCSI

MCSI ACSI

ACSI

ACSI

Sales/Marketing

Introduction to Investment - the Foundation Qualification Certificate in Investment Management

Affiliate ACSI

Diploma (incl Regulation & Compliance & Private Client Investment Advice Management paper)

MCSI

Traders in equities/futures/bonds [individuals working on firms behalf proprietary trading]

Certificate in Securities Certificate in Derivatives Certificate in Securities and Financial Derivatives Certificate in Commodity Derivatives Certificate in Investment Management

ACSI

Diploma incl Financial Derivatives or Bonds and Fixed Interest as appropriate

MCSI