AccountancyISCO 3311

Securities broker

A securities broker is a person who connects investors with the investment opportunities available to them, and who buys and sells securities on a client's behalf.

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Rate 5 of the 20 essential skills of this occupation (European ESCO data). No account needed.

protect client interests

analyse market financial trends

assess risks of clients' assets

review investment portfolios

create a financial plan

About securities broker

The broker works from expert knowledge of the financial markets. They calculate the price of securities, place orders, and monitor how a client's holdings perform, assessing whether a position is stable or has become speculative. Financial information is gathered on the instruments and the issuers behind them, and economic trends are forecast to judge how a security may perform.

The broker safeguards client interests, assesses the risk to client assets and develops a financial plan that matches what a particular client can afford to lose. Knowledge of economics and of securities themselves underpins those judgements, and actuarial science is applied where the horizon is long and the outcome has to be modelled.

The broker also talks clients through their options, explaining what a product does, what it costs and what happens in a bad year. Licensing requirements are set by national financial supervision rules.

European Skills Framework

Skills and knowledge areas required for this occupation based on European classification.

Essential (20)

financial productsfinancial productsThe 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.securitiessecuritiesThe 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 whic...economicseconomicsEconomic principles and practices, financial and commodity markets, banking and the analysis of financial data.financial marketsfinancial marketsThe financial infrastructure which permits trading securities offered by companies and individuals govern by regulatory financial frameworks.stock marketstock marketThe market in which shares of publicly held companies are issued and traded.actuarial scienceactuarial scienceThe rules of applying mathematical and statistical techniques to determine potential or existing risks in various industries, such as finance or insurance.financial jurisdictionfinancial jurisdictionFinancial rules and procedures applicable to a certain location, whose regulatory bodies decide on its jurisdiction.protect client interestsprotect client interestsProtect the interests and needs of a client by taking necessary actions, and researching all possibilities, to ensure that the client obtains their favoured outcome.analyse market financial trendsanalyse market financial trendsMonitor and forecast the tendencies of a financial market to move in a particular direction over time.assess risks of clients' assetsassess risks of clients' assetsIdentify, evaluate and determine the actual and potential risks of your clients’ assets, considering confidentiality standards.review investment portfoliosreview investment portfoliosMeet with clients to review or update an investment portfolio and provide financial advice on investments.create a financial plancreate a financial planDevelop a financial plan according to financial and client regulations, including an investor profile, financial advice, and negotiation and transaction plans.maintain records of financial transactionsmaintain records of financial transactionsCollate all the financial transactions done in the daily operations of a business and record them in their respective accounts.obtain financial informationobtain financial informationGather information on securities, market conditions, governmental regulations and the financial situation, goals and needs of clients or companies.advise on financial mattersadvise on financial mattersConsult, advise, and propose solutions with regards to financial management such as acquiring new assets, incurring in investments, and tax efficiency methods.apply technical communication skillsapply technical communication skillsExplain technical details to non-technical customers, stakeholders, or any other interested parties in a clear and concise manner.trade securitiestrade securitiesBuy 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.analyse financial riskanalyse financial riskIdentify and analyse risks that could impact an organisation or individual financially, such as credit and market risks, and propose solutions to cover against those risks.forecast economic trendsforecast economic trendsGather and analyse economic data in order to predict economic trends and events.handle financial transactionshandle financial transactionsAdminister currencies, financial exchange activities, deposits as well as company and voucher payments. Prepare and manage guest accounts and take payments by cash, credit card and debit card.

Optional (13) — show

banking activitiesbanking activitiesThe broad and continuously growing banking activities and financial products managed by banks ranging from personal banking, corporate banking, investment banking, private banking, up to insurance, fo...statisticsstatisticsThe study of statistical theory, methods and practices such as collection, organisation, analysis, interpretation and presentation of data. It deals with all aspects of data including the planning of ...modern portfolio theorymodern portfolio theoryThe theory of finance that attempts to either maximise the profit of an investment equivalent to the risk taken or to reduce the risk for the expected profit of an investment by judiciously choosing t...tax legislationtax legislationTax legislation applicable to a specific area of specialisation, such as import tax, government tax, etc.electronic communicationelectronic communicationData communication performed through digital means such as computers, telephone or e-mail.accountingaccountingThe documentation and processing of data regarding financial activities.trace financial transactionstrace financial transactionsObserve, track and analyse financial transactions made in companies or in banks. Determine the validity of the transaction and check for suspicious or high-risk transactions in order to avoid mismanag...communicate with customerscommunicate with customersRespond to and communicate with customers in the most efficient and appropriate manner to enable them to access the desired products or services, or any other help they may require.perform stock valuationperform stock valuationAnalyse, calculate and appraise the value of the stock of a company. Use mathematic and logarithm in order to determine the value in consideration of different variables.provide support in financial calculationprovide support in financial calculationProvide colleagues, clients or other parties with financial support for complex files or calculations.operate financial instrumentsoperate financial instrumentsWork with financial instruments such as stocks, bonds, mutual funds and derivatives.build business relationshipsbuild business relationshipsEstablish a positive, long-term relationship between organisations and interested third parties such as suppliers, distributors, shareholders and other stakeholders in order to inform them of the orga...provide financial product informationprovide financial product informationGive the customer or client information about financial products, the financial market, insurances, loans or other types of financial data.

Related Occupations

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Frequently asked questions

What does a securities broker do?

Securities brokers create the connection between the investors and the available investment opportunities. They purchase and sell securities on their clients' behalf, based on their expertise in the financial markets. They monitor the performance of their clients' securities, assessing their stability or speculative tendencies. Securities brokers calculate the securities' price and place orders.

What skills does a securities broker need?

A securities broker needs 20 essential skills, including financial products, securities, economics, financial markets, stock market.

Will AI replace securities broker jobs?

The AI disruption score for securities broker is 81/100 (very high risk). Skills most exposed to automation: electronic communication, accounting, maintain records of financial transactions. Most resilient: build business relationships, protect client interests, handle financial transactions.

AI Replacement Risk

81/ 100

Very High Risk

Low riskHigh risk

Skills most at risk from AI

electronic communication accounting maintain records of financial transactions

Skills resilient to automation

build business relationships protect client interests handle financial transactions

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Quick Facts

SectorAccountancy

ISCO GroupBusiness and administration associate professionals

Essential Skills20

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