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Financial investigators

OaSIS code 11109.02

Financial investigators investigate the practices of securities and commodity futures traders and other financial service providers.

Overview

Also known as

  • Financial investigator
  • Lending solutions manager

Main duties

This group performs some or all of the following duties:

  • Investigate possible unethical conduct or breaches of securities or commodity futures laws by persons or companies that trade in securities and commodity futures or that provide related financial services.

Additional information

  • While these kinds of positions require a high degree of training and qualifications, persons who occupy them must continually update their skills and pursue professional development.
  • Progression to financial management positions is possible with experience.

Similar occupations classified elsewhere

Exclusions:

  • Insurance, real estate and financial brokerage managers (10020)
  • Banking, credit and other investment managers (10021)
  • Advertising, marketing and public relations managers (10022)
  • Other business services managers (10029)
  • Financial and investment analysts (11101)
  • Securities agents, investment dealers and brokers (11103)
  • Economist (in 41401.00 Economists and economic policy researchers and analysts)
  • Economic development officer (in 41402.00 Business development officers and market researchers and analysts)

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

11109 – Other financial officers

Occupational profile

11109.02 – Financial investigators

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
Evaluating Information to Determine Compliance
5 - Highest Level
Getting Information
5 - Highest Level
Analyzing Data or Information
4 - High Level
Applying New Knowledge
4 - High Level
Clerical Activities
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
2 - Between 35 to 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
4 - Highly important
Frequency
3 - Once a week or more but not every day

Workplaces/employers

  • Banks
  • Governments
  • Investment firms
  • Self-employed
  • Trust companies

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
Categorization Flexibility
4 - High Level
Fluency of Ideas
4 - High Level
Inductive Reasoning
4 - High Level
Information Ordering
4 - High Level
Mathematical Reasoning
4 - High Level

Skills

Proficiency or complexity level
Coordinating
4 - High Level
Critical Thinking
4 - High Level
Decision Making
4 - High Level
Digital Literacy
4 - High Level
Evaluation
4 - High Level

Personal Attributes

Importance
Analytical Thinking
5 - Extremely important
Attention to Detail
5 - Extremely important
Adaptability
4 - Highly important
Collaboration
4 - Highly important
Independence
4 - Highly important

Interests

The OaSIS uses the Holland Codes to describe the work-related interests. According to the Holland model, people work best in work environments that match their preferences, which means that people and work environments can be matched for a best fit. Occupational environments in Holland’s theory are described according to a combination of main interests and the activities they represent. There are six interests in the Holland typology: Realistic, Investigative, Artistic, Social, Enterprising and Conventional. All occupations in OaSIS have up to three interests assigned to them.

Interests

Preferences for work environments and outcomes.

Interests profile: EIC

Enterprising (E)

Enterprising occupations are characterized by the dominance of action-oriented activities to attain organizational or self-interest goals. They frequently involve starting up and carrying out projects, influencing, leading or mobilizing people, making decisions, and sometimes require risk taking and dealing with business.

Investigative (I)

Investigative occupations are characterized by the dominance of activities that entail the observation and systematic or creative investigation of physical, biological, or cultural phenomena. These occupations require an extensive amount of thinking and frequently involve working with ideas, searching for facts and figuring out problems mentally.

Conventional (C)

Conventional occupations are characterized by the dominance of activities that entail following sets of procedures and routines. These activities may include systematic manipulation of data, such as keeping records, filing materials, reproducing materials, organizing written and numerical data according to a prescribed plan, and operating business and data processing. They often require following a clear line of authority and usually involve working with data and details more than with ideas.

Employment requirements

Employment requirements includes the education, training, certifications and the knowledge required to work in each occupation. The Knowledge category displays up to 10 descriptors in descending order based, firstly, on their attributed ratings by the level of proficiency, and secondly, in alphabetical order. The whole list of Knowledge descriptors and their ratings can be expanded at the bottom of each page.

Education, certification and licensing

  • A bachelor's degree in business administration, commerce, economics or a related field is usually required.
  • Various training programs and courses are offered by financial institutes and organizations, such as the Canadian Securities Institute, Institute of Canadian Bankers, CFA Institute, Investment Funds Institute and Trust Companies Institute of Canada, and may be required by employers.
  • A recognized financial designation may be required (CFA, CIM or others).

Knowledge

Knowledge level
Accounting
3 - Advanced Level
Business Management
3 - Advanced Level
Clerical
3 - Advanced Level
Economics
3 - Advanced Level
Finance
3 - Advanced Level

Skills for success

 
Skills for Success Model
 
Skills for Success are skills that help you in a quickly changing world. Everyone benefits from having these skills. They can help you to get a job, progress at your current job or even change jobs. The skills also help you become an active member of your community and succeed in learning.
 
 
Linkages Between ESDC Skills Models and Frameworks
 
ESDC makes available a dictionary of over 300 terms (or descriptors) and definitions, known as the Skills and Competencies Taxonomy (SCT). Descriptor information from the Taxonomy is used in the Occupational and Skills Information System (OaSIS).
 
While there is general commonality of meaning between the descriptors in the SCT and the Skills for Success model, there are some differences in their definitions due to their distinct purposes. The Skills for Success Model [9 broadly defined skills] identifies the skills that are universally applicable. The SCT displays specific skills and competency requirements for 900 occupations. Users of the Skills for Success Model and Essential Skills content may find competency information from the Taxonomy and the OaSIS to be complementary.
 
Stay tuned to this section for more information and updates regarding linkages between the Skills for Success model and the OaSIS.

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.

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