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OaSIS 2025 Version 1.0
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11103.01 – Securities agents and investment dealers

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.

Overview

Example job titles

  • Foreign exchange trader
  • Mutual fund sales representative

Core competencies

  • Critical Thinking and Decision Making to make well-informed decisions about which securities to buy or sell and to anticipate market movements
  • Negotiating and Persuading to secure favourable terms for clients, close deals and build strong relationships with clients and other market participants
  • Deductive Reasoning to apply general principles to specific investment scenarios and predict how different factors might impact securities
  • Numerical Ability to analyze financial data, calculate investment returns and assess market trends accurately in order to make informed trading decisions
  • Stress Tolerance to manage the pressure of making quick decisions, handling market fluctuations and dealing with client demands without compromising performance or judgment
  • Knowledge in Finance to understand various securities, such as stocks, bonds and mutual funds, and their characteristics in order to assess factors influencing value

Main duties

This group performs some or all of the following duties:

  • 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.

Additional information

  • Progression to related management positions is possible with experience.

Similar occupations classified elsewhere

Exclusions:

  • Financial and investment analysts (11101)
  • Insurance, real estate and financial brokerage managers (10020)
  • Other financial officers (11109)

NOC hierarchy breakdown

NOC version

NOC 2021 Version 1.0

Broad occupational category

1 – Business, finance and administration occupations

TEER

1 – Occupations usually require a university degree

Major group

11 – Professional occupations in finance and business

Sub-major group

111 – Professional occupations in finance

Minor group

1110 – Auditors, accountants and investment professionals

Unit group

11103 – Securities agents, investment dealers and brokers

Occupational profile

11103.01 – Securities agents and investment dealers

O*NET in-it

This page includes information from the O*NET 27.2 Database by the U.S. Department of Labor, Employment and Training Administration (USDOL/ETA). Used under the CC BY 4.0 license. O*NET® is a trademark of USDOL/ETA. Employment and Social Development Canada has modified all or some of this information. USDOL/ETA has not approved, endorsed, or tested these modifications.