Level 3


In stock
Certificate in Regulated Financial Services Operations

The Level 3 Certificate in Regulated Financial Services Operations (previously known as the Certificate in Financial Services, product specific route) develops fundamental knowledge of the financial services sector, including regulation, legislation, and overseeing and administering financial products. It develops the essential skills needed by those working in administrative and operational roles.

Qualification details

It suits those involved in or overseeing the operational delivery of life, pensions or investment products, in addition to other financial services support roles. The Certificate is an ideal next step for holders of the Award in Financial Administration or Certificate in Investment Operations, requiring completion of one further unit.


The Certificate comprises one compulsory unit and two option units, providing 35-40 CII credits on successful completion. These credits can be used towards further CII qualifications. 

Select only one compulsory unit from the following: 

  • Financial Services, Regulation and Ethics (R01) – 20 CII credits; or 
  • UK Financial Services, Regulation and Ethics (CF1) – 15 CII credits. 

Select only two option units from the following: 

  • Life Office Administration (FA1) – 10 CII credits. 
  • Pensions Administration (FA2) – 10 CII credits. 
  • Individual Savings Accounts Administration (FA5) – 10 CII credits. 


For units in this qualification, students typically have access to the following materials as part of their enrolment:

  • Study text (printed and/or digital) with digital updates
  • RevisionMate online study support, including end of chapter tests
  • Exam guides containing a practice exam and guidance
  • Assessment entry

Additional or different resources may be available for some units.

Select units to complete this qualification

Explore and purchase units

Compulsory Units:


Optional Units: