TCFCA 学习空间
TCFCA 学习空间
Securities agents, investment dealers and brokers
证券经纪人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.
中文内容为本站机器翻译，未经加拿大政府审核；申请与职业匹配请以英文原文为准。
证券经纪人和投资交易商
Securities agents and investment dealers
通过制定投资策略来帮助客户实现财务目标，提供各种投资的建议和信息来指导他们管理投资组合，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
审查金融期刊、股票和债券报告、商业出版物和其他材料，并在金融行业内建立网络，以收集相关信息并为客户识别潜在投资
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、养老基金管理人或银行、信托公司和保险公司等公司执行投资订单，买卖股票、债券、国库券、共同基金和其他证券
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并确保投资交易按照行业法规进行。
Monitor clients' investment portfolios and ensure that investment transactions are carried out according to industry regulations.
经纪人
Brokers
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
Buy and sell stocks, bonds, commodity futures, foreign currencies and other securities at stock exchanges on behalf of investment dealers
通过审查投资信息并监控交易所的市场状况以及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
进行证券买卖的出价和报价，并填写交易所交易票据的销售详细信息
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.
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.
可能需要公认的财务资格（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，例如加拿大证券协会提供的加拿大证券课程和行为与实践手册课程，或者可接受的替代方案，例如完成 CFA 协会提供的一个或多个级别的 CFA 课程。
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.
还为想要交易特定投资产品（例如证券期权和期货合约）的证券销售代表和经纪人提供专业课程。
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.
证券代理人、投资交易商和经纪人需要获得就业省份省级证券委员会或认可的自律组织的许可。
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.
随着经验的积累，可以晋升到相关管理职位。
Progression to related management positions is possible with experience.
金融和投资分析师（参见11101金融和投资分析师）
Financial and investment analysts (See 11101 Financial and investment analysts)
金融经纪经理（参见10020保险、房地产和金融经纪经理）
Financial brokerage manager (See 10020 Insurance, real estate and financial brokerage managers)
其他财务官员（见11109其他财务官员）
Other financial officers (See 11109 Other financial officers)
Source: Statistics Canada, National Occupational Classification (NOC) 2021 Version 1.0, September 28, 2021. Reproduced and distributed on an "as is" basis with the permission of Statistics Canada.
Statistics Canada CSV 不标注 individual essential duties。 本站不会把某一行自动编造成 essential duty，具体分类仍需用户或专业人士核对。