Securities agents, investment dealers and brokers (NOC 1113)

Securities agents and investment dealers:

• develop long-term relationships with clients by preparing investment strategies to help them achieve their financial goals
• review financial periodicals 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
• oversee client investment portfolios and ensure that investment transactions are carried out according to industry regulations

Brokers:

• 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 financial analysts
• make bids and offers to buy and sell securities and complete details of sales on exchange trade tickets
• prepare reviews of portfolio positions

Work in this occupation is typically performed in a structured environment, such as an office

Education, training & qualifications

• a bachelor's or master's degree in economics, business or other discipline is usually required.
• Securities sales representatives and brokers require completion of industry investment and sales training programs and completion of the Canadian Securities course and the Registered Representative Manual Exam offered by the Canadian Securities 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 is required for securities agents, investment dealers and brokers

Skills

• Clerical Ability
• Numerical Ability
• Detail-Oriented
• Finger Dexterity
• Social

View skills definitions

Education programs in B.C.

The following program areas are related to this occupation:

For more information about programs offered specifically for this career, visit EducationPlannerBC.