Profession financial broker

Financial brokers undertake financial market activities on behalf of their clients. They monitor securities, financial documentation of their clients, market trends and conditions and other legal requirements. They plan buying and selling activities and calculate transactions costs.

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Personality Type

  • Enterprising / Conventional

Knowledge

  • Financial jurisdiction

    Financial rules and procedures applicable to a certain location, whose regulatory bodies decide on its jurisdiction

  • Actuarial science

    The rules of applying mathematical and statistical techniques to determine potential or existing risks in various industries, such as finance or insurance.

  • Securities

    The financial instruments traded in financial markets representing both the right of property over the owner and at the same time, the obligation of payment over the issuer. The aim of securities which is raising capital and hedging risk in financial markets.

  • Economics

    Economic principles and practices, financial and commodity markets, banking and the analysis of financial data.

  • Financial products

    The different types of instruments that apply to the management of cash flow that are available on the market, such as shares, bonds, options or funds.

Skills

  • Analyse market financial trends

    Monitor and forecast the tendencies of a financial market to move in a particular direction over time.

  • Advise on financial matters

    Consult, advise, and propose solutions with regards to financial management such as acquiring new assets, incurring in investments, and tax efficiency methods.

  • Manage financial risk

    Predict and manage financial risks, and identify procedures to avoid or minimise their impact.

  • Trade securities

    Buy or sell tradable financial products such as equity and debt securities on your own account or on behalf of a private customer, corporate customer or credit institution.

  • Maintain financial records

    Keep track of and finalise all formal documents representing the financial transactions of a business or project.

  • Obtain financial information

    Gather information on securities, market conditions, governmental regulations and the financial situation, goals and needs of clients or companies.

  • Create a financial plan

    Develop a financial plan according to financial and client regulations, including an investor profile, financial advice, and negotiation and transaction plans.

  • Apply technical communication skills

    Explain technical details to non-technical customers, stakeholders, or any other interested parties in a clear and concise manner.

  • Synthesise financial information

    Collect, revise and put together financial information coming from different sources or departments in order to create a document with unified financial accounts or plans.

  • Protect client interests

    Protect the interests and needs of a client by taking necessary actions, and researching all possibilities, to ensure that the client obtains their favoured outcome.

  • Provide financial product information

    Give the customer or client information about financial products, the financial market, insurances, loans or other types of financial data.

Optional knowledge and skills

communicate with banking professionals provide cost benefit analysis reports handle financial transactions modern portfolio theory conduct financial audits maintain records of financial transactions trace financial transactions operate financial instruments handle financial disputes communicate with customers optimise financial performance banking activities provide support in financial calculation review investment portfolios

Common job titles

  • Stockbroker trainee
  • Stockbroker trainee (series 7 preferred)
  • Looking for stock brokers and broker trainees!
  • Stockbroker/financial advisor trainee
  • Stock broker/financial advisor trainee
  • Stock brokers/ financial advisors wanted
  • Wholesale account executive (remote)
  • Associate broker
  • Freight broker agent- (remote)
  • Stock broker