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NOC 2021 Version 1.0


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11109 – Other financial officers

Other financial officers include professional occupations in finance such as financial examiners and inspectors, financial investigators, financial underwriters, mortgage brokers and trust officers. They are employed by banks, trust companies, investment firms and governments, or they may be self-employed.


Example titles

  • Credit adjudicator
  • Credit unions examiner
  • Estate and trust administrator
  • Financial institutions inspector
  • Financial investigator
  • Financial underwriter
  • Mortgage broker
  • Trust officer

Main duties

This group performs some or all of the following duties:
    Financial examiners and inspectors
    • Review and examine banks, trust companies, credit unions, caisses populaires, credit companies, real estate companies, insurance companies, pension funds, securities brokers and other financial services and institutions to ensure compliance with governing legislation and regulations.
    Financial investigators
    • 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.
    Financial underwriters
    • Analyze clients requests to assess risk and details of stocks, bonds, mortgages or other financing solutions
    • Negotiate with corporations, governments or individuals to determine the type and terms of financial products and prepare offering prospectuses or contracts
    • May underwrite new issues of stocks and bonds.
    Trust officers
    • Administer estate, personal, charitable, corporate and other types of trusts
    • Direct trust account investments, receive and record investment income and disburse trust funds.
    Mortgage brokers
    • Meet with clients to obtain information about income, liabilities and assets, and type, price and condition of property to be mortgaged
    • Negotiate mortgage loans with lenders or lending institutions on behalf of clients.

Employment requirements

  • 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).
  • Financial examiners and inspectors may require a recognized accounting designation.
  • Mortgage brokers require a mortgage broker licence in British Columbia, Alberta, Saskatchewan, Manitoba, Ontario, Quebec, New Brunswick, Newfoundland and Labrador and Nova Scotia.

Additional information

  • Progression to financial management positions is possible with experience.
  • 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.


Breakdown summary

Broad occupational category
1 – Business, finance and administration occupations
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
NOC 2021 Version 1.0
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