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FINANCIAL SERVICES

Financial Services Customer Adviser Level 2

This Apprenticeship has been developed by Employer Trailblazers and delivered as a new Standard – Click here for full programme and assessment details

Overview

This Standard develops your skills to deal with customers on a range of relatively straightforward transactions within a detailed regulatory and risk framework. This could be in person, over the phone, through the internet or within an operations centre that supports other areas of the business. Depending on the organisation, your role could be a branch cashier or dealing with customer enquiries such as helping them use new digital services, answering phone calls and emails, administering customer accounts, resolving relatively straightforward problems and complaints, proactively contacting customers, identifying sales opportunities and making referrals.

Qualifications

Level 2 Financial Services Customer Adviser

Level 1 Functional Skills – English, Maths an ICT

Entry Requirements

TBC

Progression

You will be qualified to progress into a front-line customer adviser role in Banks and Building Societies.

Investment Operations Administrator Level 2

This Apprenticeship has been developed by Employer Trailblazers and delivered as a new Standard – Click here for full programme and assessment details

Overview

This Standard will be involve working in the operational and administrative areas of business in the Financial Services sector that engage in investment management, trading and reporting activities. You will work with clients on a domestic and global basis that includes private individuals, small businesses, collective investment schemes, pension funds, charities, corporations and governments. You will perform routine, non-complex tasks in these businesses, with typical activities including reconciliations of investment records, data entry, investigating missing or inaccurate data, compliance and money laundering checks, researching information towards investigative activities and projects, and processing correspondence.

Qualifications

Level 2 Investment Operations Administrator

Entry Requirements

TBC

Progression

You will be qualified to work as a Investment Operations Administrator in areas of Stock Exchanges, Stockbrokers, Investment Managers, Banks, Financial Advice and Wealth Management Firms, Investment Consulting and Investment Administration businesses. 

Investment Operations Technician Level 3

This Apprenticeship has been developed by Employer Trailblazers and delivered as a new Standard – Click here for full programme and assessment details

Overview

This Standard will be within the operational and administrative areas of businesses in the Financial Services sector. You will engage in investment management, trading and reporting activities ranging from hundreds to millions of pounds. You will work with a range of substantial and varied clients on a global or domestic basis that include private individuals, small businesses, collective investment schemes, pension funds, charities, corporations and governments.

Typical activities may include investment transaction matching, confirmation and settlement, portfolio valuation, portfolio cash reconciliation and management, corporate actions processing, preparation of internal and client investment reports, processing significant changes to portfolios as instructed by clients or their authorised agents.

Qualifications

Level 3 Investment Operations Technician

Chartered Institute of Securities and Investment (CISI) – Investment Operations Certificate

Entry Requirements

TBC

Progression

You will be qualified to progress into roles within the Operations areas of Stock Exchanges, Stockbrokers, Investment Managers, Banks, Financial Advice and Wealth Management firms, and Investment Consulting and Investment Administration businesses. This Apprenticeship Standard also provides the foundation to start specialising areas such as ISA, Administration, Global Custody and Settlements.

Investment Operations Specialist Level 4

This Apprenticeship has been developed by Employer Trailblazers and delivered as a new Standard – Click here for full programme and assessment details

Overview

This Standard will be within the operational and administrative areas of businesses in the Financial Services sector. You will engage in investment management, investment consulting, trading and reporting activities. Millions of investment transactions are conducted within the UK Financial Services sector every day on behalf of institutional and retail clients, ranging from private individuals and small businesses to unit trusts, pension funds, charities, corporations and governments within the UK and overseas. You will become a specialist in varied and increasingly complex financial instruments and products to ensure they are efficiently processed, registered, reported and valued within the employing organisation, between counterparties and end clients.

Typical activities may include processing and settlement of derivatives or complex investments, calculation and management of initial and ongoing margin for derivatives positions, valuation of complex investment portfolios, preparation of management reports for internal review, selection of investment funds for platforms accessed by retail customers (based on pre-defined criteria) and resolving complex issues within and across departments.

Qualifications

Level 4 Investment Operations Specialist

Entry Requirements

TBC

Progression

You will be qualified to progress into roles within Investment Analysis, Management and Administration including Risk Controller, Manager, Modeller and advising in Securities, Derivatives or Packaged Products.   

Paraplanner Level 4

The Financial Advice market consists of c19000 SME businesses split approximately 75% financial advice, 25% mortgage advice. These SME businesses are supported by umbrella organisations known as networks who provide a range of support services to the individual businesses including technology, compliance, technical & consultancy support. 

Due to recent regulatory changes, there is an increasing demand for professionally qualified technical support in Financial Adviser businesses.

This Apprenticeship has been developed by Employer Trailblazers and delivered as a new Standard – Click here for full programme and assessment details

Overview

This Standard is designed to assist the Financial Adviser in researching, analysing and preparing compliant financial reports for clients that verify the recommendations made in accordance with the company investment philosophy. The role will be distinctly different from that of a Financial Advisor as you will be predominantly responsible back office and technical support instead of client-facing.

There are two distinct Paraplanner roles recognised by the sector. This standard is for the first of these two roles.

Qualifications

Level 4 Paraplanner

Entry Requirements

TBC

Progression

You will be qualified to develop further into the role of ‘Senior Paraplanner’ which requires a broader level of industry experience and further qualifications, or other technical, compliance or managerial roles within the sector

Financial Services Senior Customer Advisor Level 3

This Apprenticeship has been developed by Employer Trailblazers and delivered as a new Standard – Click here for full programme and assessment details

Overview

This Standard has been designed for Banks and Building Societies but may also come into Life Insurers. There are several front-line roles that deal with customers within these organisations that you could be involved in by having a high level of technical knowledge and skills across a wide range of products. This could in branch, over the phone, internet, social media or an operations centre that supports other areas. You could deal with individuals, businesses or a small portfolio of accounts.

Typical activities may include understanding customer needs and meeting those needs with the right products and services (e.g. type of bank account, credit card, loans, insurances). You could be promoting new digital services to encourage customers to use these channels, proactively calling customers to deepen relationships, resolving tricky complaints, working with other areas of the organisation to meet customer needs.

You will be given the option to manage a team as part of your role.

Qualifications

Level 3 Financial Services Senior Customer Advisor

Entry Requirements

TBC

Progression

You will be a fully qualified Senior Customer Advisor with the opportunity to develop your career within the organisation through pathways including giving advice on regulated products (e.g. mortgages), becoming a specialist in an area (e.g. complaints), or continue in a service role.

Workplace Pensions Administrator / Consultant Level 3

This Apprenticeship has been developed by Employer Trailblazers and delivered as a new Standard – Click here for full programme and assessment details

Overview

This standard contains two roles in a core and options structure. In either role, you could be providing information in relation to in-house pension schemes or externally to pension clients of the organisation. Neither role will provide financial advice.

Workplace Pensions Administrator

This element plays a critical role in managing the day to day operation of workplace pension schemes. You will likely be involved in a variety of tasks supporting more senior administrators. This may include producing quotations and setting up benefits for members including retirement, death and leaving service before retirement, transfers into or out of the workplace pension scheme, maintaining workplace pension scheme cash books, reconciling bank statements and preparing cash-flow forecasts. You will also collate information and draft Administration Reports for clients, maintain and update member records, respond to workplace pension scheme specific enquiries from members, and clarify the benefits payable under the workplace pension scheme.

Workplace Pensions Consultant

This element is required by organisations of all shapes and sizes and provides specialist support when selecting and running workplace pension schemes. You will likely be involved in a variety of client support activities including governance, strategy and management, working in a team supporting more experienced colleagues.

Other tasks may include assisting and advising pension scheme sponsors and Trustees as subject matter experts, pulling together the many complex and interrelated areas of pensions regulation, strategy, implementation and governance of the scheme, inputting into and setting the agenda for Trustee meetings, working in collaboration with appointed legal advisers, actuaries, investment advisers, auditors and regulatory bodies. You may also assist in communications to pension scheme members, complaints management, project management and negotiations with sponsoring employers and assist in the governance of a pension scheme (This may include the maintenance of a risk register, business plan, member nominated trustee election process, dispute resolution process and Trustee knowledge and understanding).

Qualifications

Level 3 Workplace Pensions Administrator/Consultant

Entry Requirements

TBC

Progression

You will be qualified as a Workplace Pensions Advisor or Consultant with a solid foundation to form a career in this sector.

Credit Controller/Collector Level 2

Credit management is a dynamic function found across all sectors of UK and international commerce and offers a range of challenging and interesting specialisms. Given the importance of credit management and collections, roles are central to many operations, typically setting policies, facilitating sales, managing financial risk and customer relationships.

This Apprenticeship has been developed by Employer Trailblazers and delivered as a new Standard – Click here for full programme and assessment details

Overview

This Standard will focus on monitoring and managing customer accounts, following organisational policies to collect moneys owed and ensure that work quality targets are met. You will need to be proactive when interacting with customers who have not paid or who have reached credit limits or terms to minimise bad debts, while retaining positive relationships for the longer term.

Typical activities may include processing credit applications, agreeing credit terms and payment arrangement, invoicing, monitoring payment, allocating an reconciling cash, resolving straight forward disputes, debt support and recommending write offs.

Qualifications

Level 2 Credit Controller/Collector

Entry Requirements

TBC

Progression

You will be qualified to develop your career within the organisation through pathways that include Senior Credit Controller/Collector, Credit Risk Analyst, Team Leader and Credit Manager.

Mortgage Adviser Level 3

The Mortgage Advice Market: Mortgage advice is provided by a number of different types of businesses; direct to consumer through banks & building societies and also via mortgage intermediaries in the form of independent brokers or advisers linked to an Estate Agent or New Homes Developer. Due to changes in regulation, including the ‘Mortgage Market Review’, the role of the Mortgage Adviser has become more technical, with increased regulatory requirements and has led to an increase in demand for qualified practitioners in the sector.

This Apprenticeship has been developed by Employer Trailblazers and delivered as a new Standard – Click here for full programme and assessment details

Overview

This Standard will require you to identify and satisfy customer mortgage requirements and associated protection needs, through fully compliant regulated meetings. These meetings can take place in a variety of environments, depending on the type of employer including face to face (either in business premises or in a customer’s home) or over the telephone. You will advise on related protection products including life assurance, critical illness, accident, sickness and unemployment, income protection and buildings and contents insurance. 

Qualifications

Level 3 Mortgage Adviser

Entry Requirements

Level 2 Functional Skills: English and Maths

Progression

You will be qualified to give mortgage advice with the potential to progress into other Financial Services.

Compliance/Risk Officer Level 3

All financial services organisations have to meet a wide range of compliance and risk requirements set out in legislation (e.g. data security) or required by regulators (e.g. financial crime, operational risk).  To meet these requirements many organisations will have dedicated Risk and/or Compliance departments that are experts in the relevant legislation/regulator requirements. They provide proactive support and guidance to the business areas to ensure that the organisation meets this wide range of requirements, balanced against achieving appropriate customer outcomes.  In some organisations, this expertise may be embedded in the business areas themselves.   

This Apprenticeship has been developed by Employer Trailblazers and delivered as a new Standard – Click here for full programme and assessment details

Overview

This Standard will work within the Risk/Compliance function of a specific organisation. You will provide relatively straightforward support and advice to the business on their area of expertise (e.g. financial crime, training and competence, fraud) and work with the business on specific problems that emerge. You will also analyse data, maintain records and produce reports and work on reviews/audits to check that policies are being correctly applied.

Qualifications

Level 3 Compliance/Risk Officer

Entry Requirements

TBC

Progression

You will be a qualified Compliance/Risk office with the option to develop your career either remaining in this area of other areas of the business.

Senior Compliance / Risk Specialist Level 6

All financial services organisations have to meet a wide range of compliance and risk requirements set out in legislation (e.g. data security) or required by regulators (e.g. financial crime, operational risk).  To meet these requirements many organisations will have dedicated Risk and/or Compliance departments that are experts in the relevant legislation/regulator requirements. They provide proactive support and guidance to the business areas to ensure that the organisation meets this wide range of requirements, balanced against achieving appropriate customer outcomes.  In some organisations, this expertise may be embedded in the business areas themselves.   

This Apprenticeship has been developed by Employer Trailblazers and delivered as a new Standard – Click here for full programme and assessment details

Overview

This standard is to provide high-quality input and advice to the business in their specialist area(s) of expertise. This could include Risk, Financial Crime, Compliance, Modelling/Analysing Data. You will likely deal with complex problems, implement new legal/regulatory requirements and work with senior managers in the organisation.

Qualifications

Level 6 Senior Compliance/Risk Specialist

Level 2 Functional Skills – English and Maths

Entry Requirements

TBC

Progression

You will be a qualified Senior Compliance / Risk Specialist with the experience to develop your career within the organisation either in the same area or applying your specialist expertise to other areas of the business.

Advanced Credit Controller / Debt Collection Specialist Level 3

Credit management is a dynamic function found across all sectors of UK and international commerce and offers a range of challenging and interesting specialisms. Given the importance of credit management and collections, roles are central to many operations, typically setting policies, facilitating sales, managing financial risk and customer relationships.

This Apprenticeship has been developed by Employer Trailblazers and delivered as a new Standard – Click here for full programme and assessment details

Overview

This Standard will focus on working with internal and external customers, both commercial and consumer, to ensure that the cash flow of their organisation is maximised while achieving fair customer outcomes.  You will need to be proactive to manage complex interaction with customers who are high risk due to having multiple debts, consistently reaching credit limits or breaching credit agreements and missing repayments to minimise. You will help recover bad debts while retaining positive sustained relationships.

You must complete one of three specialist options in either Credit Risk, Advanced Collections or Enforcement and Recovery.

Qualifications

Level 3 Advanced Credit Controller/Debt Collector

Entry Requirements

Level 2 Functional Skills – English and Maths

Progression

You will be qualified to continue developing your career within the organisation in pathways that include becoming a Team Leader, Credit/Collection Manager or more specialist roles such as dealing with sensitive cases and Senior Credit Risk Analyst.

Financial Adviser Level 4

This Apprenticeship has been developed by Employer Trailblazers and delivered as a new Standard – Click here for full programme and assessment details

Overview

This Standard will require you to provide your clients with specialist advice on how to manage their money. You could be employed in large companies such as banks, or in small specialist advice businesses. You will build long-term, valued relationships with clients, research the marketplace and recommend the most appropriate products and services available. You could specialise in particular products depending on your client that may include selling employee pension schemes to companies or offer mortgage, pension or investment advice to private clients.

Qualifications

Level 4 Financial Adviser

Level 2 Functional Skills – English and Maths

Entry Requirements

TBC

Progression

You will be a qualified Financial Advisor and could progress into other roles such as Financial Services Administrator, Mortgage Adviser or Paraplanner. You could continue to progress beyond this to become a Chartered Financial Planner, Manager or business owner.

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