Job description Registered Investment Representative in the Southwest Region
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Find out what work is like for a registered investment representative in Canada. This work description is applicable to all Securities agents, investment dealers and brokers (NOC 11103).

Securities agents, investment dealers and brokers

Description

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.

Job duties

Here are some of the main activities and tasks that Securities agents, investment dealers and brokers have to perform, and some of the physical demands they involve:

  • 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 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 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.

Physical demands

Physical demands are the physical activities that the job requires the worker to do. Physical demands are selected according to the likeliness that workers will have to perform them for at least half of the time they spend at work.

Work environment

The work environment refers to the physical setting in which people work. The characteristics and conditions of the work environment are selected according to the likeliness that workers will be exposed to them at least once a week.

Physical proximity from others

Physical proximity from others refers to the physical distance between individuals in the workplace. The likeliness that the job requires to perform tasks while being physically close to other people is rated on a scale with 3 levels: "Somewhat close", "Close" and "Very close".

Related job titles

Here are some other related job titles that are found in the same occupational category (NOC 11103), and a list of similar occupations:

  • bond dealer
  • broker
  • commodity broker
  • discount broker
  • floor trader - commodity exchange
  • foreign exchange trader
  • investment dealer
  • mutual fund broker
  • mutual fund sales representative
  • registered investment representative
  • registered representatives supervisor
  • securities agent
  • securities sales agent
  • securities trader
  • stockbroker

Similar occupations Help - Similar occupations

Similar occupations

This section lists other occupations that are part of the same broad occupational category as Securities agents, investment dealers and brokers in the National Occupational Classification (NOC). These occupations involve similar core qualifications but involve different responsibilities. To see more similar occupations, use the Job Transition Tool.

Sources Occupational and Skills Information System & National Occupational Classification

Labour Market Information Survey
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