11103 证券代理、投资交易商和经纪人 Securities agents, investment dealers and brokers - FLYabroad NOC
飞出国 NOC2021：11103 证券代理和投资交易商为个人投资者、养老基金经理、银行、信托公司、保险公司和其他机构买卖股票、债券、国库券、共同基金和其他证券。经纪人代表投资交易商在证券交易所买卖股票、债券、商品期货、外币和其他证券。他们受雇于投资公司、股票经纪公司、股票和商品交易所以及证券行业的其他机构。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. Brokers buy and sell stocks, bonds, commodity futures, foreign currencies and other securities at stock exchanges on behalf of investment dealers. They are employed by investment companies, stock brokerage firms, stock and commodity exchanges and other establishments in the securities industry.
11103 证券代理、投资交易商和经纪人示例职业名称 - 飞出国 Example titles - FLYabroad NOC
- 债券交易员 / Bond dealer
- 经纪人 / Broker
- 商品经纪人 / Commodity broker
- 折扣经纪人 / Discount broker
- 场内交易员-商品交易所 / Floor trader - commodity exchange
- 外汇交易员 / Foreign exchange trader
- 投资经销商 / Investment dealer
- 共同基金经纪人 / Mutual fund broker
- 共同基金销售代表 / Mutual fund sales representative
- 注册投资代表 / Registered investment representative
- 注册代表监事 / Registered representatives supervisor
- 证券代理 / Securities agent
- 证券销售代理 / Securities sales agent
- 证券交易员 / Securities trader
- 股票经纪人 / Stockbroker
11103 证券代理，投资交易商和经纪人主要职责 Main duties - FLYabroad NOC
11103 该小组执行以下部分或全部职责 This group performs some or all of the following duties:
11103 证券代理和投资交易商 Securities agents and investment dealers
- 通过制定投资策略帮助客户实现财务目标，提供有关各种投资的建议和信息以指导他们管理投资组合，从而与客户建立长期关系 / 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
- 查阅金融期刊、股票和债券报告、商业刊物和其他材料，并在金融行业内建立网络，为客户收集相关信息和识别潜在投资 / 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
- 为个人投资者、养老基金经理或银行、信托公司、保险公司等公司通过买卖股票、债券、国库券、共同基金和其他证券的方式执行投资指令 / 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
- 监控客户的投资组合，确保投资交易按行业规定进行 / Monitor clients’ investment portfolios and ensure that investment transactions are carried out according to industry regulations.
11103 经纪人 Brokers
- 代表投资商在证券交易所买卖股票、债券、商品期货、外币等证券 / Buy and sell stocks, bonds, commodity futures, foreign currencies and other securities at stock exchanges on behalf of investment dealers
- 通过从交易所查看投资信息和监控市场状况，以及通过与其他投资公司的交易部门、养老基金经理和投资公司财务分析师的联系来制定交易策略 / Develop trading strategies by reviewing investment information and monitoring market conditions from the exchange floor and through contact with trading departments of other investment firms, pension fund managers and investment company financial analysts
- 进行买卖证券的出价和出价以及交易所交易票的完整销售详情 / Make bids and offers to buy and sell securities and complete details of sales on exchange trade tickets
- 准备对投资组合头寸的审查 / Prepare reviews of portfolios’ positions.
11103 证券代理、投资交易商和经纪人就业要求 Employment requirements - FLYabroad NOC
- 通常需要经济学、商业或其他学科的学士或硕士学位 / A bachelor’s or master’s degree in economics, business or other discipline is usually required.
- 可能需要获得认可的财务名称（CFA、CFP、CIM 或其他） / A recognized financial designation may be required (CFA, CFP, CIM or others).
- 证券销售代表和经纪人需要完成行业投资和销售培训计划并完成许可课程，例如加拿大证券学院提供的加拿大证券课程和行为与实践手册课程，或可接受的替代课程，例如完成一项或多项由 CFA Institute 提供的 CFA 课程级别 / Securities sales representatives and brokers require completion of industry investment and sales training programs and completion of licensing courses such as the Canadian Securities Course and the Conduct and Practices Handbook Course offered by the Canadian Securities Institute, or acceptable alternatives such as completion of one or more levels of the CFA Program, offered by CFA Institute.
- 专门课程也适用于希望交易特定投资产品（如证券期权和期货合约）的证券销售代表和经纪人 / Specialized courses are also available for securities sales representatives and brokers who want to trade in specific investment products such as securities options and futures contracts.
- 证券代理、投资交易商和经纪人需要获得所在省的省证监会或公认的自律组织的许可 / Licensure by the provincial securities commission in the province of employment or a recognized self-regulatory organization is required for securities agents, investment dealers and brokers.
11103 附加信息 Additional information
- 根据经验可以晋升到相关管理职位 / Progression to related management positions is possible with experience.
11103 排除 Exclusions
- 金融和投资分析师 (11101) / Financial and investment analysts (11101)
- 其他财务人员 (11109) / Other financial officers (11109)
- 保险、房地产和金融经纪经理 (10020) / Insurance, real estate and financial brokerage managers (10020)
11103 证券代理，投资交易商和经纪人职业名称 - 飞出国 All titles - FLYabroad NOC
- 年金代表 - 投资 / Annuity representative - investments
- 套利者 / Arbitrager
- 债券经纪人 / Bond broker
- 债券交易商 / Bond dealer
- 债券交易员 / Bond trader
- 经纪人 / Broker
- 商品经纪人 / Commodity broker
- 商品交易员 / Commodity trader
- 折扣经纪人 / Discount broker
- 股票交易员 / Equity trader
- 金融经纪人 / Financial broker
- 场内交易员-商品交易所 / Floor trader - commodity exchange
- 外汇交易商 / Foreign exchange dealer
- 外汇交易员 / Foreign exchange trader
- 期货交易员 / Futures trader
- 谷物经纪人 / Grain broker
- 谷物经纪人——商品交易 / Grain broker - commodity trading
- 粮食贸易商 / Grain trader
- 独立场内交易员 / Independent floor trader
- 投资经纪人 / Investment broker
- 投资经销商 / Investment dealer
- 投资代表 / Investment representative
- 货币市场交易员 / Money market trader
- 共同基金经纪人 / Mutual fund broker
- 共同基金销售代理 / Mutual fund sales agent
- 共同基金销售代表 / Mutual fund sales representative
- 期权交易员 / Options trader
- 注册投资代表 / Registered investment representative
- 注册代表监事 / Registered representatives supervisor
- 证券代理 / Securities agent
- 证券代表 / Securities representative
- 证券销售代理 / Securities sales agent
- 证券推销员/女 / Securities salesman/woman
- 证券交易员 / Securities trader
- 证券交易所场内交易员 / Stock exchange floor trader
- 股票经纪人 / Stockbroker
- 股票和债券交易员 / Stocks and bonds trader
- 信托服务推销员/女士 / Trust services salesman/woman
广泛的职业类别
1 – 商业， 金融， 和行政职业
TEER类别
1 – 通常需要大学学历
Major group次主要分组
11 – 金融和商业职业
Sub-major group次要分组
111 –金融和商业职业
Minor group单元组
1110-审计师， 会计师和投资专业人士
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