Job requirements Agent, Securities in the Northwest Region
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Find out what you typically need to work as an agent, securities in the Northwest Region. These requirements are applicable to all Securities agents, investment dealers and brokers (NOC 11103).

Employment requirements

This is what you typically need for the job.

  • A bachelor's or master's degree in economics, business or other discipline is usually required.
  • A recognized financial designation may be required (CFA, CFP, CIM or others).
  • Securities sales representatives and brokers require completion of industry investment and sales training programs and completion of licensing courses such as the Canadian Securities Course and the Conduct and Practices Handbook Course offered by the Canadian Securities Institute, or acceptable alternatives such as completion of one or more levels of the CFA Program, offered by CFA 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 or a recognized self-regulatory organization is required for securities agents, investment dealers and brokers.

Source National Occupational Classification

Professional certification and licensing

Ontario

If this occupation is regulated, you may need to get a professional license from a regulatory authority before you can start working. Licensing can be compulsory or voluntary, depending on the occupation.

  • If the licence is compulsory, you must be certified before you can practise the occupation and use the professional designation.
  • If the licence is voluntary, you don’t need to be certified to practise this occupation.

Find out if this occupation is regulated and contact the regulatory authority to learn about the certification process.

Job title Securities Agent
Regulated
Job title Brokers
Regulated
Job title Investment Dealer
Regulated

Source Foreign Credential Recognition Program - ESDC

Find out where this occupation is regulated in Canada

Do you want to work in another province or territory?

If you are already certified to work in a regulated occupation in your province or territory, it will be easier for you to have your certification recognized in another province or territory. See the Workers Mobility's website to learn more.

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