Securities Operations and Risk Management NISM Series VII Cert

Online Course on Securities Operations & Risk Management – NISM VII

Security operations & risk management NISM certification course will make you understand the basics of the Indian securities market, regulatory and its role, end to end functions of the broking house, understand the trade life cycle, the steps and participants involved in the trade life cycle and the role of the back office in a securities broking firm, how the risks are managed in a securities broking firm, the clearing & settlement process, process of investor grievances redressal.

Through structured video modules, learners gain practical insights into the roles of brokers, clearing and settlement processes, investor grievance redressal, and back-office operations. The course is ideal for students, banking professionals, and finance aspirants who want to gain practical knowledge and certification aligned with SEBI NISM standard

Who Should Enroll?

• Brokers and sub-brokers aiming for NISM certification

• Banking and finance professionals seeking operational expertise

• Students pursuing careers in back-office operations or surveillance

• Individuals aspiring for roles in risk management or operations

• Professionals preparing to become financial market trainers

Key Learning Outcomes

By completing this course, you will learn to:

• Navigate the Indian securities market efficiently

• Understand the roles of market participants in trading and settlement

• Perform broking operations with clarity and precision

• Apply risk management practices to minimize exposure

• Resolve investor grievances and understand arbitration processes

• Gain hands-on knowledge of brokers’ additional services

Course Chapters

1. Introduction to the Securities Market – Understand market structure and regulatory framework

2. Market Participants in the Securities Market – Learn the roles of brokers, depositories, and clearing houses

3. Introduction to Securities Broking Operations – End-to-end broking process and back-office operations

4. Risk Management – Identify and mitigate operational, credit, and market risks

5. Clearing Process – Learn clearing obligations and clearing corporation functions

6. Settlement Process – Understand trade settlement, demat transfers, and payments

7. Investor Grievances and Arbitration – Redressal mechanisms and SEBI regulations

8. Other Services Provided by Brokers – Research, advisory, portfolio management, and value-added services

Why Enroll in This Course?

• Gain practical knowledge of securities operations and risk management

• Learn from industry experts with years of real-world experience

• Prepare for the NISM Series VII certification effectively

• Boost your career opportunities in broking, banking, and finance

• Understand the trade lifecycle from start to finish

Start Your Career in Securities Operations & Risk Management Today!
Enroll now and gain the skills, knowledge, and certification to succeed in the Indian securities market.

Frequently Asked Questions (FAQs)

Q: What is the SEBI NISM Series VII Securities Operations and Risk Management Certification course?

A: The SEBI NISM Series VII Securities Operations and Risk Management Certification course is an official regulatory training program established to create a standardized professional knowledge baseline for individuals operating within the institutional trade lifecycle and risk management segments of stock brokerages. The training content builds core competencies across clearing operations, settlement tracking, investor grievance mechanisms, and the comprehensive operational control parameters enforced in the Indian stock market space.

Q: How to prepare for the SEBI NISM Series VII Securities Operations and Risk Management Certification course?

A: To prepare for the SEBI NISM Series VII Securities Operations and Risk Management Certification course, candidates should dedicate systematic study time to mastering the step-by-step processing sequence of trades from the front office to the back office. A successful preparation path involves deeply analyzing margin computation models, client account onboarding rules, and corporate action processing rules, followed by regular practice with timed, structure-aligned mock tests to build speed and accurate recall.

Q: What does this SEBI NISM Series VII Securities Operations and Risk Management Certification course cover?

A: This SEBI NISM Series VII Securities Operations and Risk Management Certification course covers nine targeted modules mapped across the structural spine of market operations and financial safety controls. The official syllabus outlines the basic features of securities markets, the role of market intermediaries, investor onboarding procedures, the mechanics of trade execution, detailed clearing and settlement processes, core risk management frameworks, financial corporate action payouts, and the overarching statutory compliance guidelines enforced by regulators.

Q: If I am a beginner can I do this SEBI NISM Series VII Securities Operations and Risk Management Certification course?

A: Yes, if you are a beginner you can absolutely do this SEBI NISM Series VII Securities Operations and Risk Management Certification course because the curriculum begins by introducing basic capital market instruments and institutional terminology from absolute scratch. However, since the intermediate chapters introduce specific operational frameworks—such as tracking depository account transfers, liquid assets calculations, and multi-tier margin requirements—beginners are encouraged to focus deeply on practical operational steps to comfortably grasp the backend of stock broking.

Q: How to pass the SEBI NISM Series VII Securities Operations and Risk Management Certification course?

A: To pass the SEBI NISM Series VII Securities Operations and Risk Management Certification course, candidates must achieve a minimum passing grade of 50% on the official computer-based examination while safely neutralizing the 25% negative marking penalty. The most secure method to clear the test is to ensure total accuracy on straightforward descriptive chapters—including client registration steps, investor protection codes, and clearing operations—while minimizing risky guessing on highly specific compliance rules to safeguard your net score.

What you will get?

Pre-recorded chapter vise videos - Yes (approx 6 hours)

Language:  ENGLISH

Book:  Yes (Ebooks in pdf format in English)

Certification: Dual certification (Certification from NIFM and preparation for SEBI NISM exam)

SEBI NISM Exam Assessment Structure

No. of questions: 100

Total markes: 100

Markes per Question: 1

Duration: 2 hours

Passing score: 50% 

Negative marking: 25%

Certificate validity: 3 years

Faculty: Mr Tapas Nayak (RMS head North India in one of the top broking house) 

This course NISM series VII security operations and risk management is the end to end process and procedure of the broking indusry. How a broker-customer clearing and settlement is done and how the risk is manage. This course will cover:

• Introductions to the securities market
• market participants
• introduction to securities broking operations
• risk management
• clearing process
• settlement process
• investor grievances and arbitration
• other services provided by brokers

Computer, Laptop, ipad, tab or mobile phone required with broadband or 4G internet.