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OaSIS 2023 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

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.