11103 – Securities agents, investment dealers and brokers

شرح اصلی

Securities agents and investment dealers buy and sell stocks, bonds, treasury bills, mutual funds and other securities for individual investors, pension fund managers, banks, trust companies, insurance firms and other establishments.

وظایف اصلی

• Develop long-term relationships with their clients by preparing investment strategies to help them achieve their financial goals, offering advice and information on various investments to guide them in managing their portfolios
• Review financial periodicals, stock and bond reports, business publications and other material, and develop a network within the financial industry to gather relevant information and identify potential investments for clients
• Carry out investment orders by buying and selling stocks, bonds, treasury bills, mutual funds and other securities for individual investors, pension fund managers or companies such as banks, trust companies and insurance firms
• Monitor clients' investment portfolios and ensure that investment transactions are carried out according to industry regulations.
• Buy and sell stocks, bonds, commodity futures, foreign currencies and other securities at stock exchanges on behalf of investment dealers
• Develop trading strategies by reviewing investment information and monitoring market conditions from the exchange floor and through contact with trading departments of other investment firms, pension fund managers and investment company financial analysts
• Make bids and offers to buy and sell securities and complete details of sales on exchange trade tickets
• Prepare reviews of portfolios' positions.

شرایط استخدام

• A bachelor's or master's degree in economics, business or other discipline is usually required.
• A recognized financial designation may be required (CFA, CFP, CIM or others).
• Securities sales representatives and brokers require completion of industry investment and sales training programs and completion of licensing courses such as the Canadian Securities Course and the Conduct and Practices Handbook Course offered by the Canadian Securities Institute, or acceptable alternatives such as completion of one or more levels of the CFA Program, offered by CFA Institute.
• Specialized courses are also available for securities sales representatives and brokers who want to trade in specific investment products such as securities options and futures contracts.
• Licensure by the provincial securities commission in the province of employment or a recognized self-regulatory organization is required for securities agents, investment dealers and brokers.

نمونه عنوان‌های شغلی

stock exchange floor trader · foreign exchange dealer · foreign exchange trader · investment representative · mutual fund sales agent · mutual fund sales representative · stocks and bonds trader · bond broker · bond dealer · investment broker · financial broker · mutual fund broker · stockbroker

دستمزد (ساعتی)

منبع: دستمزدهای Job Bank، انتشار 2025 (ESDC). پایین و بالا برابر صدک ۱۰ و ۹۰ است.