NOC 11103 - Securities agents, investment dealers and brokers
Provide investment advice and execute securities transactions for individual and institutional clients. Develop and maintain client relationships while ensuring portfolios align with financial objectives and regulatory requirements.
Number of Positions
5
Main Duties
Assess client financial goals and risk tolerance to recommend appropriate investment strategies and products.
Solicit, onboard and maintain relationships with current and existing clients to grow assets under management.
Execute buy and sell orders through trading platforms and manage trade settlement processes.
Monitor market trends, perform research and prepare investment analyses to support client recommendations.
Prepare client reports, portfolio reviews, statements and investment proposals on a regular basis.
Ensure compliance with securities regulations, maintain accurate records and complete required documentation.
Requirements
Bachelor's degree in finance, business, economics or related field, or equivalent work experience.
Registration or licensing as required by the applicable provincial securities regulator or industry body.
Minimum of 2 years of experience in securities trading, investment advising or related financial services.
Strong knowledge of financial products, markets, investment strategies and trading systems.
Proficiency with financial analysis tools, CRM systems and electronic trading platforms.
Ability to pass background and credit checks and meet ongoing professional development requirements.
Required Skills
Client relationship management and prospecting
Financial analysis and portfolio construction
Risk assessment and mitigation
Effective verbal and written communication
Negotiation and sales skills
Regulatory and compliance awareness
Perks
Benefits include competitive wages, supportive work environment, opportunities for growth, training support, and other employer-specific perks depending on the position and location.
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