A Demand for Skills in Financial Services Regulation & Compliance

Introducing The Diploma In Investment Operations & Compliance qualification designed by Griffith College, Information Mosaic and CISI

Diploma In Investment Operations & Compliance

Preparing You for a Successful Career in Financial Services

If you’re interested in a new career in the financial services sector, have a business or finance level 7 degree qualification, and are either a jobseeker or an Investment Operations professional looking to extend your expertise in investment operations compliance, then this part-time Diploma course could be ideal for you.

A Demand for Skills in Financial Services Regulation & Compliance

With the introduction of new regulations following the financial crises of the past decade, the global financial services landscape has undergone unprecedented change in recent years. Financial firms are under pressure to be as transparent as possible and comply with these new regulations.

With these latest challenges comes the creation of new job roles and processes. There’s a clear demand for individuals who have the up-to-date skills to find innovative solutions within an ever-changing environment, both in Ireland’s financial services sector and internationally too. 

The main growth area in Ireland is the administration of sophisticated funds and hedge funds. Hedge funds were traditionally lightly regulated but have now come under more strict supervision from regulators. Hedge Fund Managers are now outsourcing risk reporting and controls to Fund Services Providers. These functions require specialist levels of overall industry knowledge, as well as an awareness of regulation among Operational staff. There is an urgent need for “fit for purpose” Operational staff with specific sector skills and this Diploma provides skills that are immediately applicable to the workplace.

Introducing the Diploma

In light of the skills shortage identified by the National Skills Bulletin (2013), the Springboard courses scheme, and listening to the demands of the financial industry, Griffith College has collaborated with Information Mosaic and the Chartered Institute for Securities & Investment in the design and delivery of this level 8 part-time Diploma.

“As the Investment Funds sector in Ireland has grown consistently over the past 25 years and continues to do so, we have been working with Information Mosaic and the CISI in developing a first-class Diploma. It is designed to provide participants with a practical knowledge of investment instruments as well as operational functions, processes and relationships within the Investment Administration sector. The Diploma at Griffith College provides participants with the techniques to implement a successful compliance function in a firm.”

- Professor Diarmuid Hegarty, President of Griffith College Ireland

“We are very pleased to be working with both Griffith College and Information Mosaic in developing a qualification, which is ultimately aimed at giving finance graduates a competitive edge in the jobs market. In addition, graduates of the Diploma will be eligible to apply for associate Institute Membership of the CISI. CISI membership comes with a range of benefits, including access to the continuous professional development (CPD) scheme and e-learning tools, the ability to attend a number of industry-focused development and networking events for free, as well as discounts on relevant training courses and conferences.”

- Kevin Moore, Chartered MCSI and CISI Director of Global Business Development

“We are delighted to join forces with the CISI and Griffith College to offer this Diploma in Investment Operations and Compliance. As a specialist provider of Securities Processing and Corporate Actions solutions to the world’s premier financial institutions, we know first hand the importance of robust operations and compliance processes to ensure the soundness of individual firms and the financial system as a whole. This qualification will certify that Investment Operations professionals have the foundation to manage these critical activities and, in doing so, help maintain Ireland’s position as a leading investment funds centre.”

- Ulrich Kunz, CEO and Chairman of Information Mosaic

What Our Lecturers Say

“The Diploma in Investment Operations and Compliance course appeals to a wide range of individuals interested in Investment & Trading, Operations and Compliance & Regulation careers. It will impart sufficient knowledge and industry insight so as to help graduates identify and facilitate particular career paths. The course also acknowledges the current economic climate and the paradox of not being able to get a job without experience and experience without a job. Accordingly, this course is relevant, timely and practical. Graduates will be able to engage meaningfully with friends, colleagues, managers, other financial services professionals and potential employers about capital markets, investment and trading, operations and risk and compliance thus giving them significant edge or advantage.”

- Niall O’Brien, Griffith College Investment Operations & Compliance lecturer

Who Is This Course For?

This Diploma is offered as a Springboard course for jobseekers looking to re-skill or for working professionals looking to up-skill.

So What’s Unique About the Diploma?

Successful students will also obtain a second qualification - the CISI Investment Operations Certificate (IOC), a level 3 professional industry qualification that is recognised around the world by financial firms and regulators. The certificate features on the UK Regulator’s Appropriate Qualification Table for Investment Operations staff and meets prescribed regulatory standards.

Career Prospects In Investment & Compliance

This global qualification offers a clear career path for Investment Operations and Compliance specialists and practitioners, and meets the changing needs of the financial services sector. On successful completion, students will have a thorough understanding of both the Irish and International financial services regulatory environment.

Irish-based fund services organisations are advertising an increasing number of employment opportunities for experienced staff with a strong knowledge base of the funds industry and awareness of regulation. High salary levels and long standing vacancies are pointing towards a pronounced skills shortage.

Course Duration

4 months + work placement

Course Modules Include:

- Financial Institutions and Markets (3 days)

- The International Securities and Investment Environment (3 days)

- Introduction to Global Securities (2 days)

- Issues of Financial Compliance (2 days)

- CISI Investment Operations Certificate (IOC) Qualification (3 days)

- Work Placement (6 months)


Useful Resources

CISI (Chartered Institute for Securities & Investment)

Information Mosaic


Central Bank of Ireland

Robert Walters Recruitment – specialists in Compliance, Risk & Regulatory employment


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