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CFA證書申請

CFA資格認證持有人(CFA Charter holder)是獨有的全球公認的投資管理從業人員高職業水平和道德水準的有力證明,是金融界卓越專業成就的象征;CFA資格強調和遵循極其嚴格的職業操守和道德準則,世界各主要發達國家相關行業都將CFA作為金融行業操守高水平人員的衡量標準,包括中國在內的投資界專業人士,越來越認識到該資格在職業誠信認證的價值。

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那么如何成為CFA資格認證持有人呢?具體申請步驟如下:

一、擁有四年(48個月)與投資相關工作經驗

1.工作經驗需要涉及到:

評估或應用金融財務,經濟,或統計數據為投資運作提供決策;涉及證券或類似的投資工作(例如公開上市和私募股票、債券、抵押貸款及其衍生品;基于有價商品的衍生品和共同基金;商品和其他投資資產,如房地產和大宗商品,多元化的投資組合,有價證券的投資組合等)。

從事于或參與到投資產品設計,為其提供專業的有價值的信息,直接參與投資決策過程或者為投資決策過程提供支持等相關工作監督、管理或指導;亦或直接或間接執行操作投資活動;從事投資活動的咨詢、教學指導工作。職位本身的名稱不能直接決定是否被CFA協會認可,主要是日常工作中涉及到的職務內容必須50%以上和投資決策相關的才是被認可。如果所從事的工作在以下舉例的職位以外,但工作中涉及的職務內容和投資決策相關,亦可提供詳細的工作經驗給CFA協會,也是被認可的。

2.如何描述工作經驗:

提交協會認可的工作崗位名稱;

除工作職位外,還需要提交所負責的具體工作細節;在提交的每個協會認可的工作職位需要寫明申請人的職責范圍;申請者需要保留申請材料的備份,以便在申請材料提交至協會前可及時更新!

3.在提交工作經驗申請材料前可參考:

自我工作經驗是否能得到協會認可,即工作經驗自我評估工作經驗描述樣本

工作職位列表樣本

申請需注意的清單

二、加入CFA協會,成為協會正式會員

正式會員(Regular Membership)不同于附屬會員(affiliate membership),正式會員是被推薦的CFA考生并以申請成為CFA Charter holder為目的。

成為CFA協會的正式會員必須滿足:

1.在正規高等院校取得至少本科學歷,或者在社會上接受相當本科教育經歷或工作經歷;2.通過CFA一級考試,或通過協會的CFA自我測試標準;3.擁有四年(48個月)與投資相關工作經驗(可參考第一條);4.申請加入CFA分會,CFA分會會員身份雖是自愿申請但協會強烈建議申請加入;5.同意遵守并簽署協會會員協議與《職業操守聲明》(即PCS);6.交納會員費:

會員標準年費為:275美元;

已是退休狀態的會員年費為:100美元;

分會的會員費是多樣的,可參考具體所屬分會會費交納標準,查看各地分會信息請點擊:local CFA societyCFA協會與分會的會員費一旦交納,不可退費,不可轉讓會費。

三、宣誓遵守《職業道德規范及職業行為標準》

四、申請加入當地分會

五、完成CFA三個級別的考試

上述五個步驟完成后即滿足CFA資格認證持有人的申請要求,其中第二條與第三條可登錄CFA協會官網個人賬戶內,在考生個人賬戶中Membership欄目下有專門提交申請的通道,考生登錄后即可提出申請。

申請成為CFA持證人需要需要4年被認可的專業工作經驗,不論是參加CFA考試前、考試中、考試后積累的直接參與投資決策過程或者為投資決策過程提供支持等相關工作,但有些考生還是不太清楚某些職業的工作經驗是是否滿足,下面就總結了這么一份被CFA協會認可的工作職位及具體的描述。

Client Service Representative or Relationship ManagerCFAI(CFA Institute,the same below) Description: "Responsible for all activities related to investment firm client service, including: communicating investment performance and strategy to clients and serving as a lesson between client and portfolio manager."Compliance Analyst or Compliance Officer

CFAI Description: "Responsible for ensuring investment firm’s adherence to applicable laws, regulations and professional standards of practice."Investment Consultant

CFAI Description: "Provides investment consulting services, including developing investment policy statements; formulating and delivering investment reviews, conducting asset allocation studies, managing client relationships; monitoring investment performance."Corporate Chief Financial Officer

CFAI Description: "Responsible for determining structure and funding needs through equity, debt, and alternative investments; evaluating financial fundamentals, and making capital investment decisions."Corporate Finance Analyst

CFAI Description: "Analyze financial fundamentals and capital needs for ongoing corporate operations and/or new projects; conduct long range financial planning; analyze and value possible mergers and acquisitions, asset sales and capital investment decisions. Determine and recommend funding strategies through varioussecurity or financing options."

Investment Banking Analyst

CFAI Description: "Analyze and value securities for public offering; target and value mergers and acquisitions for corporate clients."Derivatives Analyst

CFAI Description: "Formulate strategies and valuations for derivative securities."Economist

CFAI Description: "Develop economic outlooks to be used in the formulation of investment strategies and portfolio structuring."Institutional Sales Professional or Business DevelopmentCFAI Description: "Cultivate new business opportunities by marketing investment products to institutional investors. Execute trades and convey research of securities and strategies to institutional investors."Investment Strategist

CFAI Description: "Apply investment knowledge to develop and analyze investment strategies designed to achieve investor goals as part of the overall investment process."Portfolio Manager

CFAI Description: "Manage clients’ investment portfolios. Responsible for investment decision-making, including security selection, industry/sector selection and portfolio construction."Private Client Investment Advisor

CFAI Description: "Manage portfolios of high net-worth clients. Identify investor objectives and develop investment policies. Manage client relationships."Professor/Instructor

CFAI Description: "Academic, full-time professor or instructor at a college or university teaching investments, finance and/or economics. Other “business” course instruction does not qualify for the award of the CFA Charter."Quantitative Investment or Risk Analyst

CFAI Description: "Conduct quantitative research and/or performance attribution analysis to assist portfolio managers and traders with investment decisions and risk management. Supply portfolio managers with analytical tools needed for portfolio management."Real Estate Investment Manager

CFAI Description: "In the context of diversified securities portfolios, specialize in the management of real estate investments, including, developing investment policies and monitoring performance."Regulator/Supervisor of Investment Firm

CFAI Description: "Oversee legal/regulatory compliance matters, perform due diligence and ensure firm compliance with all applicable federal securities laws, state statutes, regulatory agencies, and investment laws. Review and maintain investment contracts, registration statements, regulatory filings and documents."Security/Investment Analyst

CFAI Description: "Analyze, value, and recommend securities in one or more asset classes (equity, fixed income, alternative investments, or derivatives)."Securities Trader

CFAI Description: "Execute buy and sell transactions in investment securities. Develop and disseminate information about markets and the trading environment to securities dealers and portfolio managers."Valuator of Closely Held Business

CFAI Description: "Value business/company/corporation where stock is thinly traded (or privately held) and for which the market offers limited buyers/sellers. Analyze financial statements, accounting methods, capital budget projects, acquisitions and asset sales."Venture Capital Analyst

CFAI Description: "Conduct market research and analysis to solicit/raise capital for equity or debt funding, mergers, capital leasing, acquisitions or divestitures."如何描述工作經驗:

a. 提交協會認可的工作崗位名稱;

b. 除工作職位外,還需要提交所負責的具體工作細節;c. 在提交的每個協會認可的工作職位需要寫明申請人的職責范圍;d. 申請者需要保留申請材料的備份,以便在申請材料提交至協會前可及時更新!


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