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Securities agents and investment dealers

OaSIS code 11103.01

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

Also known as

  • 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:

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

Work characteristics

Work characteristics gathers the various components describing the work environment of each occupation, such as employers, work activities, and the work context. Each category displays up to 10 descriptors in descending order based, firstly, on their attributed ratings by the level of complexity (for Work Activities) or other measurement dimensions (for Work Context), and secondly, in alphabetical order. The whole list of descriptors and their ratings can be expanded at the bottom of each page.

Work Activities

Proficiency or complexity level
Selling or Influencing Others
5 - Highest Level
Analyzing Data or Information
4 - High Level
Communicating with Coworkers
4 - High Level
Developing Objectives and Strategies
4 - High Level
Evaluating Information to Determine Compliance
4 - High Level

Work Context

Structural Job Characteristics

Structured versus Unstructured Work
Degree of freedom to determine tasks and priorities
3 - Moderate amount of freedom
Work Week Duration
Worked hours in a typical week
3 - More than 40 hours

Physical Work Environment

Physical Proximity
Physical distance from others
3 - Somewhat close (e.g. share office)

Physical Demands

Sitting
Duration
5 - All the time, or almost all the time
Standing
Duration
1 - Very little time
Bending or Twisting the Body
Duration
1 - Very little time

Interpersonal Relations

Contact with Others
Frequency
4 - Every day, a few times per day
Duration
4 - More than half the time
Work with Work Group or Team
Importance
3 - Important
Frequency
3 - Once a week or more but not every day

Workplaces/employers

  • Financial securities industry
  • Investment companies
  • Stock and commodity exchanges
  • Stock brokerage firms

Skills and abilities

This section displays the various competencies required for an occupation. Each category displays up to 10 descriptors in descending order based, firstly, on their attributed ratings by the level of proficiency (for Skills and Abilities) or importance (for Personal Attributes) and secondly, in alphabetical order. The whole list of descriptors and their ratings can be expanded at the bottom of each page.

Abilities

Proficiency or complexity level
Deductive Reasoning
5 - Highest Level
Numerical Ability
5 - Highest Level
Categorization Flexibility
4 - High Level
Fluency of Ideas
4 - High Level
Inductive Reasoning
4 - High Level

Skills

Proficiency or complexity level
Critical Thinking
4 - High Level
Decision Making
4 - High Level
Digital Literacy
4 - High Level
Evaluation
4 - High Level
Management of Financial Resources
4 - High Level

Personal Attributes

Importance
Stress Tolerance
5 - Extremely important
Active Learning
4 - Highly important
Adaptability
4 - Highly important
Analytical Thinking
4 - Highly important
Attention to Detail
4 - Highly important