Advanced Certificate in Global Securities Operations

CISI Level 5 Advanced Certificate Programme

The Advanced Certificate in Global Securities Operations enables candidates to develop their skills and knowledge of operations within the global marketplace and offers a route to senior management level positions within operations.

This qualification is primarily aimed at Supervisors, Team Leaders, Assistant Managers, Managers and Senior Technical Specialists working in investment operations (custody, settlements, corporate actions, treasury operations/cash management, derivatives and reconciliations).

Key features of the Advanced Certificate in Global Securities Operations
  • Global qualification suitable for those working in the UK and overseas
  • Develops a specialist knowledge in securities operations
  • Provides a stepping stone from the Investment Operations Certificate (IOC) to the highly regarded Diploma in Investment Operations
  • Earn CPD hours upon successful completion of the qualification
  • Free CISI Student membership
  • ACSI designatory letters

Qualification Structure 

 The award is achieved by passing:

 Global Securities Operations
Syllabus Summary:
  • Securities
  • Main industry participants
  • Settlement characteristics
  • Other investor services
  • Aspects of taxation
  • Risk
 Advanced Global Securities Operations
Syllabus Summary:
  • Investment Account Openings
  • UK Market and Stock Exchange Fees and Taxes
  • Settlement
  • Custodians
  • Stock Lending and Stock Borrowing
  • Cash Management
  • Corporate Entitlements
  • Straight-through Processing and Technology
  • Service Level Agreements
  • Managing Client Transitions to meet client-led objectives

Study Options

Self-study using the CISI's learning manuals and elearning for:

Please note: The CISI's mandatory learning manual policy requires, where available, the most up to date CISI learning manual to be purchased when booking an exam, including by an ATP on your behalf. This applies to all candidates sitting CISI exams in the UK (includes Northern Ireland, Guernsey, Jersey and Isle of Man). Candidates sitting CISI exams outside of the UK will receive the most up-to-date workbook in PDF format for that subject and is included in the international exam price.

Accredited Training Providers
The CISI accredits a wide range of training providers to deliver formal training for our exams and you can register directly with the provider of your choice.

Find an Accredited Training Provider (ATP) near you

Sample Papers
Sample exam questions are available for:

Register and Book

Register with the CISI
New candidates intending to take CISI qualifications need to first register with the CISI. Upon registering, you will receive a candidate number, password and access to the CISI's online systems.

Book your exams
Candidates can book:

Register for your qualification
After booking your exams you need to register for your qualification. Please be sure you have read and understood the exam regulations and policies.

The latest prices for exams are listed on the online price list.

Post Qualification Opportunities

After completing the Advanced Certificate in Global Securities qualification you can join the Institute at ACSI level. As a Member of the Institute, you will enjoy the recognition of being a professional in a world of increasing competition. The extensive continuing professional development (CPD) opportunities available through the CISI’s suite of membership benefits ensures financial services practitioners can maintain competence and meet the requirements of firms and the regulator.

Higher Level Qualifications
To further theoretical and practical knowledge upon completion of the Advanced Certificate in Global Securities Operations, higher level qualifications to take include:

UK qualifications levels 3 4
Investment Operations Certificate (IOC) Managing Operational Risk in Financial Institutions
  Diploma in Operational Risk *
EU qualifications levels 4 5
Advanced Certificate in Operational Risk
Advanced Certificate in Global Securities Operations
Diploma in Investment Operations

* Diploma in Operational Risk

Diploma in Operational Risk = Operational Risk (IOC) + Managing Operational Risk in Financial Institutions + Advanced Operational Risk