Securities Agents, Investment Dealers and Brokers perform some or all of the following duties:

• Develop client relationships and design investment strategies
• Monitor market data and industry publications
• Execute trades in stocks, bonds, treasury bills, mutual funds, and derivatives
• Ensure regulatory compliance for all transactions
• Review and manage client portfolios
• Trade securities and commodities on exchange floors
• Develop trading strategies based on market intelligence
• Prepare transaction records and trade tickets
• Analyze portfolio positions and market movements

These are the typical employment requirements and benefits associated with this occupation in Canada:

• A bachelor's or master's degree in economics, business, finance, or a related field is usually required.
• Recognized professional designations such as CFA, CFP, CIM, or equivalent credentials may be required or preferred.
• Completion of the Canadian Securities Course and the Conduct and Practices Handbook Course, or approved alternatives, is typically required.
• Specialized training may be required for derivatives trading.
• Provincial securities licensing or registration with recognized regulatory bodies is generally required.
• Many employers offer pension plans, medical and dental coverage, life insurance, paid leave, and employer contributions to pension and employment insurance programs.