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.

FAQs

Q1: What is the NISM Series VII Certification?
A1: It is a SEBI-recognized certification that validates your knowledge of securities operations and risk management in broking firms.

Q2: Who should take this course?
A2: Brokers, sub-brokers, banking professionals, students, and anyone aspiring for a career in securities operations or risk management.

Q3: Is this course online or offline?
A3: The course is completely online with pre-recorded chapter-wise videos for flexible learning.

Q4: Will this course help in clearing the NISM Series VII exam?
A4: Yes, the course is fully aligned with NISM Series VII syllabus and prepares you for the certification exam.

Q5: What topics are covered in this course?
A5: It covers market participants, broking operations, trade lifecycle, risk management, clearing & settlement, investor grievance handling, and other services offered by brokers.

Q6: How long do I have access to the course?
A6: You will have 6 months of access to all course materials and videos.

Q7: Do I get a certificate after completion?
A7: Yes, you receive a dual certification: NIFM certificate and preparation for NISM Series VII exam.

Q8: What are the career benefits of this course?
A8: It opens opportunities in back-office operations, risk management, broking houses, and financial services roles.

Q9: Is there any mock test or practice material included?
A9: Yes, the course includes mock tests and reference material to practice for the NISM exam.

Q10: What are the system requirements for the course?
A10: A computer, laptop, tablet, or mobile phone with internet (broadband or 4G) is required.

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.