Buy and sell securities in investment and trading firms and develop and implement financial plans for individuals, businesses, and organizations.
Tasks
Complete sales order tickets and submit for processing of client-requested transactions.
Interview clients to determine clients' assets, liabilities, cash flow, insurance coverage, tax status, or financial objectives.
Record transactions accurately, and keep clients informed about transactions.
Develop financial plans based on analysis of clients' financial status, and discuss financial options with clients.
Review all securities transactions to ensure accuracy of information and conformance to governing agency regulations.
Offer advice on the purchase or sale of particular securities.
Relay buy or sell orders to securities exchanges or to firm trading departments.
Identify potential clients, using advertising campaigns, mailing lists, or personal contacts.
Review financial periodicals, stock and bond reports, business publications, or other material to identify potential investments for clients or to keep abreast of trends affecting market conditions.
Contact prospective customers to determine customer needs, present information, or explain available services.
Prepare documents needed to implement plans selected by clients.
Analyze market conditions to determine optimum times to execute securities transactions.
Explain stock market terms or trading practices to clients.
Inform and advise concerned parties regarding fluctuations or securities transactions affecting plans or accounts.
Calculate costs for billings or commissions.
Supply the latest price quotes on any security, as well as information on the activities or financial positions of the corporations issuing these securities.
Prepare financial reports to monitor client or corporate finances.
Read corporate reports and calculate ratios to determine best prospects for profit on stock purchases and to monitor client accounts.
Knowledge
Customer and Personal Service
Knowledge of principles and processes for providing customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
Mathematics
Knowledge of arithmetic, algebra, geometry, calculus, statistics, and their applications.
Economics and Accounting
Knowledge of economic and accounting principles and practices, the financial markets, banking and the analysis and reporting of financial data.
Clerical
Knowledge of administrative and clerical procedures and systems such as word processing, managing files and records, stenography and transcription, designing forms, and other office procedures and terminology.
English Language
Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.
Sales and Marketing
Knowledge of principles and methods for showing, promoting, and selling products or services. This includes marketing strategy and tactics, product demonstration, sales techniques, and sales control systems.
Administration and Management
Knowledge of business and management principles involved in strategic planning, resource allocation, human resources modeling, leadership technique, production methods, and coordination of people and resources.
Skills
Reading Comprehension
Understanding written sentences and paragraphs in work related documents.
Active Listening
Giving full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times.
Persuasion
Persuading others to change their minds or behavior.
Speaking
Talking to others to convey information effectively.
Critical Thinking
Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
Judgment and Decision Making
Considering the relative costs and benefits of potential actions to choose the most appropriate one.
Systems Analysis
Determining how a system should work and how changes in conditions, operations, and the environment will affect outcomes.
Writing
Communicating effectively in writing as appropriate for the needs of the audience.
Abilities
Oral Expression
The ability to communicate information and ideas in speaking so others will understand.
Deductive Reasoning
The ability to apply general rules to specific problems to produce answers that make sense.
Oral Comprehension
The ability to listen to and understand information and ideas presented through spoken words and sentences.
Written Comprehension
The ability to read and understand information and ideas presented in writing.
Problem Sensitivity
The ability to tell when something is wrong or is likely to go wrong. It does not involve solving the problem, only recognizing there is a problem.
Speech Clarity
The ability to speak clearly so others can understand you.
Fluency of Ideas
The ability to come up with a number of ideas about a topic (the number of ideas is important, not their quality, correctness, or creativity).
Work Activities
Selling or Influencing Others
Convincing others to buy merchandise/goods or to otherwise change their minds or actions.
Communicating with Persons Outside Organization
Communicating with people outside the organization, representing the organization to customers, the public, government, and other external sources. This information can be exchanged in person, in writing, or by telephone or e-mail.
Establishing and Maintaining Interpersonal Relationships
Developing constructive and cooperative working relationships with others, and maintaining them over time.
Performing for or Working Directly with the Public
Performing for people or dealing directly with the public. This includes serving customers in restaurants and stores, and receiving clients or guests.
Organizing, Planning, and Prioritizing Work
Developing specific goals and plans to prioritize, organize, and accomplish your work.
Updating and Using Relevant Knowledge
Keeping up-to-date technically and applying new knowledge to your job.
Identifying Objects, Actions, and Events
Identifying information by categorizing, estimating, recognizing differences or similarities, and detecting changes in circumstances or events.
Interpreting the Meaning of Information for Others
Translating or explaining what information means and how it can be used.
Making Decisions and Solving Problems
Analyzing information and evaluating results to choose the best solution and solve problems.
Getting Information
Observing, receiving, and otherwise obtaining information from all relevant sources.
Work Context
Telephone
How often do you have telephone conversations in this job?
Electronic Mail
How often do you use electronic mail in this job?
Contact With Others
How much does this job require the worker to be in contact with others (face-to-face, by telephone, or otherwise) in order to perform it?
Indoors, Environmentally Controlled
How often does this job require working indoors in environmentally controlled conditions?
Importance of Being Exact or Accurate
How important is being very exact or highly accurate in performing this job?
Frequency of Decision Making
How frequently is the worker required to make decisions that affect other people, the financial resources, and/or the image and reputation of the organization?
Impact of Decisions on Co-workers or Company Results
How do the decisions an employee makes impact the results of co-workers, clients or the company?
Deal With External Customers
How important is it to work with external customers or the public in this job?
Spend Time Sitting
How much does this job require sitting?
Face-to-Face Discussions
How often do you have to have face-to-face discussions with individuals or teams in this job?
Interests
Enterprising
Enterprising occupations frequently involve starting up and carrying out projects. These occupations can involve leading people and making many decisions. Sometimes they require risk taking and often deal with business.
Conventional
Conventional occupations frequently involve following set procedures and routines. These occupations can include working with data and details more than with ideas. Usually there is a clear line of authority to follow.
Social
Social occupations frequently involve working with, communicating with, and teaching people. These occupations often involve helping or providing service to others.
Investigative
Investigative occupations frequently involve working with ideas, and require an extensive amount of thinking. These occupations can involve searching for facts and figuring out problems mentally.
Realistic
Realistic occupations frequently involve work activities that include practical, hands-on problems and solutions. They often deal with plants, animals, and real-world materials like wood, tools, and machinery. Many of the occupations require working outside, and do not involve a lot of paperwork or working closely with others.
Artistic
Artistic occupations frequently involve working with forms, designs and patterns. They often require self-expression and the work can be done without following a clear set of rules.
Work Style
Attention to Detail
Job requires being careful about detail and thorough in completing work tasks.
Integrity
Job requires being honest and ethical.
Initiative
Job requires a willingness to take on responsibilities and challenges.
Dependability
Job requires being reliable, responsible, and dependable, and fulfilling obligations.
Analytical Thinking
Job requires analyzing information and using logic to address work-related issues and problems.
Persistence
Job requires persistence in the face of obstacles.
Independence
Job requires developing one's own ways of doing things, guiding oneself with little or no supervision, and depending on oneself to get things done.
Adaptability/Flexibility
Job requires being open to change (positive or negative) and to considerable variety in the workplace.
Concern for Others
Job requires being sensitive to others' needs and feelings and being understanding and helpful on the job.
Achievement/Effort
Job requires establishing and maintaining personally challenging achievement goals and exerting effort toward mastering tasks.
Work Values
Achievement
Occupations that satisfy this work value are results oriented and allow employees to use their strongest abilities, giving them a feeling of accomplishment. Corresponding needs are Ability Utilization and Achievement.
Working Conditions
Occupations that satisfy this work value offer job security and good working conditions. Corresponding needs are Activity, Compensation, Independence, Security, Variety and Working Conditions.
Relationships
Occupations that satisfy this work value allow employees to provide service to others and work with co-workers in a friendly non-competitive environment. Corresponding needs are Co-workers, Moral Values and Social Service.
Independence
Occupations that satisfy this work value allow employees to work on their own and make decisions. Corresponding needs are Creativity, Responsibility and Autonomy.
Support
Occupations that satisfy this work value offer supportive management that stands behind employees. Corresponding needs are Company Policies, Supervision: Human Relations and Supervision: Technical.
Recognition
Occupations that satisfy this work value offer advancement, potential for leadership, and are often considered prestigious. Corresponding needs are Advancement, Authority, Recognition and Social Status.
