noc_code: “11103”
noc_version: “2021.0”
translation_mode: “basic”
title_en: “Securities agents, investment dealers and brokers”
title_zh: “证券代理、投资交易商和经纪人”
official_url: “https://noc.esdc.gc.ca/Structure/NOCProfile?GocTemplateCulture=en-CA&code=11103&version=2021.0”
description: “Complete NOC profile for Securities agents, investment dealers and brokers (NOC 11103) in basic translation mode - 100% faithful to official data, bilingual Chinese-English, enhanced with emojis for better readability. Contains occupation definition, job titles, main duties, employment requirements and TEER category system. No salary or employment inference included in basic mode.”
keywords:
- NOC 11103
- 11103 Securities agents, investment dealers and brokers
- 11103 证券代理、投资交易商和经纪人
- 11103 NOC 2021
tags: - noc-1
- teer-1
- basic-mode
NOC 11103 证券代理、投资交易商和经纪人 | Securities agents, investment dealers and brokers
关键信息速览 | Key Information
 NOC 项目 |
内容 |
|---|---|
| NOC 代码 |
11103 |
职业概述
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.
| 
TEER 类别 | TEER 1 |
| 
主要类别 | 1 - 商业、金融和行政职业 (Business, finance and administration occupations) |
| 
主要组别 | 11 - 金融和商业专业职业 (Professional occupations in finance and business) |
| 
次要组别 | 111 - 金融专业职业 (Professional occupations in finance) |
| 
次级组别 | 1110 - 审计师、会计师和投资专业人员 (Auditors, accountants and investment professionals) |
| 
数据版本 | NOC 2021 Version 1.0 |
📍 职业层级 | Occupational Hierarchy
NOC 11103 证券代理、投资交易商和经纪人在 NOC 2021 分类体系中的位置：
1 商业、金融和行政职业
└── 11 金融和商业专业职业
└── 111 金融专业职业
└── 1110 审计师、会计师和投资专业人员
└── 11103 证券代理、投资交易商和经纪人 ⭐ 您在这里
📖 职业定义 | Definition
NOC 11103 证券代理、投资交易商和经纪人买卖 (buy and sell) 股票 (stocks)、债券 (bonds)、国库券 (treasury bills)、共同基金 (mutual funds) 和其他证券 (other securities)，为个人投资者 (individual investors)、养老基金经理 (pension fund managers)、银行 (banks)、信托公司 (trust companies)、保险公司 (insurance firms) 和其他机构 (other establishments) 服务。经纪人 (Brokers) 代表投资交易商 (on behalf of investment dealers) 在证券交易所 (at stock exchanges) 买卖 (buy and sell) 股票 (stocks)、债券 (bonds)、商品期货 (commodity futures)、外币 (foreign currencies) 和其他证券。他们受雇于 (are employed by) 投资公司 (investment companies)、股票经纪公司 (stock brokerage firms)、股票和商品交易所 (stock and commodity exchanges) 以及证券行业 (securities industry) 的其他机构。
📄 **NOC 11103 证券代理、投资交易商和经纪人** 英文原文 | View Original English Definition
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.
💼 职位名称示例 | Illustrative Examples
NOC 11103 证券代理、投资交易商和经纪人职业的常见职位名称包括：
- 债券交易商 (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)
投资交易商 (Investment dealer)- 基金经纪人 (Mutual fund broker)
- 销售代表 - 共同基金 (Mutual fund sales representative)
注册投资代表 (Registered investment representative)- 监管 (Registered representatives supervisor) 注册代表主管 (Registered representatives supervisor)
证券代理 (Securities agent)- 销售代理 - 证券 (Securities sales agent)
- 交易员 - 证券 (Securities trader)
- 股票经纪人 (Stockbroker)
📋 **NOC 11103 证券代理、投资交易商和经纪人** 完整职位名称索引 | Complete Index of Titles
完整职位名称索引 | Complete Index of Titles
- 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)
- 谷物交易员 (Grain trader)
- 独立场内交易员 (Independent floor trader)
- 投资经纪人 (Investment broker)
- 投资交易商 (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)
- 注册代表主管 (Registered representatives supervisor)
- 证券代理 (Securities agent)
- 证券代表 (Securities representative)
- 证券销售代理 (Securities sales agent)
- 证券销售员 (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)
- 信托服务销售员 (Trust services salesman/woman)
📋 主要职责 | Main Duties
NOC 11103 证券代理、投资交易商和经纪人执行以下部分或全部职责 (performs some or all of the following duties)：
- 证券代理和投资交易商
- 通过 (by) 制定投资策略 (preparing investment strategies) 来帮助客户实现 (help them achieve) 其财务目标 (their financial goals)，提供 (offering) 有关各种投资 (various investments) 的建议 (advice) 和信息 (information) 以指导他们管理投资组合 (guide them in managing their portfolios)，与客户建立 (Develop) 长期关系 (long-term relationships)。
- 审查 (Review) 金融期刊 (financial periodicals)、股票和债券报告 (stock and bond reports)、商业出版物 (business publications) 和其他材料 (other material)，并在金融行业内建立网络 (develop a network within the financial industry)，以收集 (gather) 相关信息 (relevant information) 并为客户识别潜在投资 (identify potential investments for clients)。
- 通过 (by) 为个人投资者 (individual investors)、养老基金经理 (pension fund managers) 或银行 (banks)、信托公司 (trust companies) 和保险公司 (insurance firms) 等公司 (companies) 买卖 (buying and selling) 股票 (stocks)、债券 (bonds)、国库券 (treasury bills)、共同基金 (mutual funds) 和其他证券 (other securities) 来执行 (Carry out) 投资订单 (investment orders)。
- 监控 (Monitor) 客户的投资组合 (clients’ investment portfolios)，并确保 (ensure) 投资交易 (investment transactions) 符合行业法规 (according to industry regulations)。
- 经纪人
- 代表投资交易商 (on behalf of investment dealers) 在证券交易所 (at stock exchanges) 买卖 (Buy and sell) 股票 (stocks)、债券 (bonds)、商品期货 (commodity futures)、外币 (foreign currencies) 和其他证券 (other securities)。
- 通过 (by) 审查投资信息 (reviewing investment information) 和从交易所场内 (exchange floor) 以及通过 (through) 与其他投资公司 (other investment firms)、养老基金经理 (pension fund managers) 和投资公司金融分析师 (investment company financial analysts) 的交易部门 (trading departments) 联系 (contact) 来监控市场状况 (monitoring market conditions)，制定 (Develop) 交易策略 (trading strategies)。
- 在 (on) 交易所交易凭证 (exchange trade tickets) 上发出 (Make) 购买和销售的报价 (bids and offers to buy and sell securities)，并完成 (complete) 销售细节 (details of sales)。
- 准备 (Prepare) 投资组合头寸的审查 (reviews of portfolios’ positions)。
📄 **NOC 11103 证券代理、投资交易商和经纪人** 英文原文 | View Original English Main Duties
This group performs some or all of the following duties:
- Securities agents and investment dealers
- 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 portfoliosReview 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 clientsCarry 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 firmsMonitor clients’ investment portfolios and ensure that investment transactions are carried out according to industry regulations.BrokersBuy and sell stocks, bonds, commodity futures, foreign currencies and other securities at stock exchanges on behalf of investment dealersDevelop 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 analystsMake bids and offers to buy and sell securities and complete details of sales on exchange trade ticketsPrepare reviews of portfolios’ positions.
- 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.
- Brokers
- Buy and sell stocks, bonds, commodity futures, foreign currencies and other securities at stock exchanges on behalf of investment dealersDevelop 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 analystsMake bids and offers to buy and sell securities and complete details of sales on exchange trade ticketsPrepare reviews of portfolios’ positions.
- Buy and sell stocks, bonds, commodity futures, foreign currencies and other securities at stock exchanges on behalf of investment dealers
- 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
- Make bids and offers to buy and sell securities and complete details of sales on exchange trade tickets
- Prepare reviews of portfolios’ positions.
🎓 任职要求 | Employment Requirements
NOC 11103 证券代理、投资交易商和经纪人任职必备条件：
📚 学历要求 | Educational Requirements
必需学历：
- 通常需要 (usually required) 经济学 (economics)、商业 (business) 或其他学科 (other discipline) 的学士 (bachelor’s) 或硕士学位 (master’s degree)。
对应加拿大学历框架：TEER 1（大学学位职业，通常需要学士、硕士或博士学位）
🏅 专业资格和许可 | Professional Designations and Licences
可能要求以下资格和许可：
- 可能需要 (may be required) 认可的金融资格 (a recognized financial designation) (CFA, CFP, CIM 或其他)。
- 证券销售代表和经纪人需要 (require) 完成 (completion of) 行业投资 (industry investment) 和销售培训计划 (sales training programs)，以及 (and) 完成 (completion of) 加拿大证券学院 (Canadian Securities Institute) 提供的 (offered by) 许可课程 (licensing courses)，例如加拿大证券课程 (Canadian Securities Course) 和行为与实践手册课程 (Conduct and Practices Handbook Course)，或 (or) 诸如 (such as) CFA 协会 (CFA Institute) 提供的 (offered by) CFA 计划 (CFA Program) 的一个或多个级别 (one or more levels) 的可接受替代方案 (acceptable alternatives)。
- 对于希望交易 (want to trade in) 特定投资产品 (specific investment products)，例如证券期权 (securities options) 和期货合约 (futures contracts) 的证券销售代表和经纪人，还提供 (also available) 专业课程 (Specialized courses)。
- 证券代理 (securities agents)、投资交易商 (investment dealers) 和经纪人 (brokers) 需要 (required) 就业省份 (province of employment) 的省级证券委员会 (provincial securities commission) 或认可的自律组织 (recognized self-regulatory organization) 的执照 (Licensure)。
📄 **NOC 11103 证券代理、投资交易商和经纪人** 英文原文 | View Original English Employment Requirements
- A bachelor’s or master’s degree in economics, business or other discipline is usually required.
- A recognized financial designation may be required (CFA, CFP, CIM or others).
- 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.
- 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.
- 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.
💡 附加信息 | Additional Information
📈 职业发展 | Career Progression
随着经验的积累 (with experience)，有可能晋升 (Progression is possible) 到相关的管理职位 (related management positions)。
📄 **NOC 11103 证券代理、投资交易商和经纪人** 英文原文 | View Original English Additional Information
- Progression to related management positions is possible with experience.
🚫 排除职业 | Exclusions
以下职业不属于 NOC 11103 证券代理、投资交易商和经纪人类别：
金融和投资分析师 (Financial and investment analysts)
参见 11101 金融和投资分析师
其他财务人员 (Other financial officers)
参见 11109 其他财务人员
保险、房地产和金融经纪经理 (Insurance, real estate and financial brokerage managers)
参见 10020 保险、房地产和金融经纪经理
📊 TEER 系统说明 | TEER Category System
NOC 11103 证券代理、投资交易商和经纪人对应 TEER 1 大学学位职业 (Occupations usually require a university degree)。
TEER (Training, Education, Experience and Responsibilities) 是 NOC 2021 引入的新分类系统，替代了旧版 NOC 2016 的技能水平分类 (Skill Level)。
🎯 TEER 1 - 大学学位职业特征
TEER 1 包括：
- 通常需要学士 (bachelor’s)、硕士 (master’s) 或博士学位 (doctorate)。
典型要求：
- 完成大学学士学位 (completion of a university bachelor’s degree)；或
- 完成数年的大学 (several years of university) 或大专 (college) 教育，并具备数年相关经验 (several years of experience)，以及特定的专业培训 (specific training)。
职位特点：
- 需要高水平的专业知识 (high level of specialized knowledge)。
- 复杂问题解决能力 (complex problem-solving skills)。
- 独立判断和决策 (independent judgment and decision-making)。
TEER 系统完整分类：
| TEER 类别 | 说明 | 典型要求 |
|---|---|---|
| TEER 1 | 管理职业 | 大学学位或大专+经验 |
| TEER 1 | 大学学位职业 | 学士/硕士/博士学位 |
| TEER 1 | 大专/学徒职业 | 2-3年大专文凭或学徒训练 |
| TEER 1 | 中学后教育职业 | 2年以下大专或学徒训练 |
| TEER 1 | 中学教育职业 | 高中文凭或数周在职培训 |
| TEER 1 | 短期培训职业 | 短期工作示范或在职培训 |
微出国版权声明 | Copyright Notice
本内容基于 Employment and Social Development Canada (ESDC) NOC 2021 Version 1.0 和 Statistics Canada 官方数据整理，由 微出国 (veryvisa.com) 编译制作。
数据来源 | Data Sources:
- ESDC NOC 2021 Unit Group 11103: https://noc.esdc.gc.ca/Structure/NOCProfile?GocTemplateCulture=en-CA&code=11103&version=2021.0
- NOC 2021 Introduction: https://www.statcan.gc.ca/en/subjects/standard/noc/2021/introduction
翻译模式 | Translation Mode: 基础模式 (Basic Mode) - 100% 忠实于官方数据，不包含联网搜索的薪资和就业推断信息。本文档仅翻译 JSON 原文字段，使用 emoji 美化和中英文对照增强可读性。