【NOC-1113】1113-证券代理、投资交易员和经纪人
1113-证券代理、投资交易员和经纪人
1113 Securities agents, investment dealers andbrokers
综述---新新源移民：
证券代理和投资交易员，为个人投资者、养老基金经理、银行、信托公司、保险公司和其他实体，买卖股票、债券、国库券、共同基金和其他证券。经纪人，在股票交易所代表投资交易员买卖股票、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、股票和大宗商品交易所及其他证券公司。
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 otherestablishments. Brokers buy and sell stocks, bonds, commodity futures, foreigncurrencies and other securities at stock exchanges on behalf of investmentdealers. They are employed by investment companies, stock brokerage firms,stock and commodity exchanges and other establishments in the securitiesindustry.
ExampleTitles示例职位-新新源移民
agent,securities—证券代理
annuityrepresentative – investments—年金代理（投资）
arbitrager—套利人—新新源
bondbroker—债券经纪人
bonddealer—债券交易员
bondtrader--债券交易员
broker—经纪人—新新源
broker,investments—经纪人（投资）
commoditybroker—商品经纪人
commoditytrader—商品交易员
dealer,foreign exchange—外汇交易员
discountbroker—贴现票据交易员
equitytrader—股东权益交易员
financialbroker—财务经纪人
floortrader – commodity exchange—场内交易员（商品交易所）
floortrader, stock exchange--场内交易员（股票交易所）
foreignexchange dealer—外汇交易员
foreignexchange trader—外汇交易员
futurestrader—期货交易员
grainbroker—粮食经纪人
grainbroker – commodity trading--—粮食经纪人（商品交易）
graintrader—粮食交易员
independentfloor trader—独立场内经纪人
investmentbroker----投资经纪人
investmentdealer—投资交易员
investmentrepresentative---投资代表
moneymarket trader—货币市场交易员
mutualfund broker—共有基金经纪人
mutualfund sales agent—共有基金销售代理
mutualfund sales representative—共有基金销售代理
optionstrader—期权交易员
registeredinvestment representative—注册投资代表
registeredrepresentatives supervisor—注册代理主管
representative,securities—证券代理
salesagent, securities—证券销售代理
salesman/woman,securities—证券销售员
securitiesagent—证券代理
securitiesrepresentative--—证券代理
securitiessales agent—证券销售代理
securitiessalesman/woman—证券销售员
securitiestrader—证券交易员
stockexchange floor trader—股票交易市场场内交易员
stockbroker—股票经纪人
stocksand bonds trader—股票和债券交易员
supervisor,registered representatives—注册代理（主管）
trader,foreign exchange—外汇交易员
trader,stocks and bonds—股票和债券交易员
trustservices salesman/woman—信托服务销售员
主要岗位职责-Mainduties-新新源移民
证券代理和投资交易员执行部分或全部如下职责：
--和客户保持长期关系，向客户提供投资策略，帮助其实现财务目标，提供投资信息和建议，指导客户管理投资组合；
--核查财务期刊、股票和债券报告、商业出版物和其他资料，在金融行业开发信息渠道（网络）获取相关信息，为客户挖掘潜在投资机会；
--通过买卖股票、债券、国库券、共有基金和其他证券等方式，为个人投资者、养老基金经理、银行、信托公司、保险公司等执行投资指令；
--监控客户投资组合，确保客户投资交易行为符合行业规定。
经纪人执行部分或全部如下职责：
--在股票交易所代表投资交易员买卖股票、债券、商品期货、外币和其他证券；
--和场内交易员、投资公司交易部门、基金经理、投资公司财务分析师沟通，核查投资信息，监控市场状况，形成交易策略；
--在票据交易市场买卖证券，执行买卖操作指令和其他交易行为；
--审核投资组合—新新源；
Securities agents and investment dealers perform some or all of the followingduties:
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.
Brokersperform some or all of the following duties:
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.
雇佣要求--Employment requirements—新新源移民
A bachelor's or master's degree in economics, business or other discipline is usually required.
Securities sales representatives and brokers require completion of industry investment and sales training programs and completion of the Canadian Securities course and the Registered Representative Manual Exam offered by the Canadian Securities 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 is required for securities agents, investment dealers and brokers.
Additionalinformation
Progression to related management positions is possible with experience.
其他分类--Classified elsewhere—新新源移民
Financial and investment analysts (1112) ---财务和投资分析分析
Financial brokerage managers (in 0121 Insurance, real estate and financial brokerage managers )
Other financial officers (1114)
相关链接：---新新源移民（www.newnewland.com）
（1）新西兰技术移民评分标准
（3）澳洲技术移民评分标准