Securities, Commodities, and Financial Services Sales Agents

Buy and sell securities or commodities in investment and trading firms, or provide financial services to businesses and individuals. May advise customers about stocks, bonds, mutual funds, commodities, and market conditions.

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.

Enterprising

Second Interest High-Point

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.

Conventional

First Interest High-Point

Social occupations frequently involve working with, communicating with, and teaching people. These occupations often involve helping or providing service to others.

Social

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.

Investigative

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.

Realistic

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.

Artistic

Third Interest High-Point

Job Zone Four: Considerable Preparation Needed

Make bids or offers to buy or sell securities.

Agree on buying or selling prices at optimal levels for clients.

Buy or sell stocks, bonds, commodity futures, foreign currencies, or other securities on behalf of investment dealers.

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.

Discuss financial options with clients and keep them informed about transactions.

Determine customers' financial services needs and prepare proposals to sell services that address these needs.

Sell services or equipment, such as trusts, investments, or check processing services.

Identify opportunities or develop channels for purchase or sale of securities or commodities.

Develop financial plans, based on analysis of clients' financial status.

Review all securities transactions to ensure accuracy of information and conformance to governing agency regulations.

Contact prospective customers to present information and explain available services.

Devise trading, option, or hedge strategies.

Track and analyze factors that affect price movement, such as trade policies, weather conditions, political developments, or supply and demand changes.

Inform other traders, managers, or customers of market conditions, including volume, price, competition, or dynamics.

Offer advice on the purchase or sale of particular securities.

Evaluate costs and revenue of agreements to determine continued profitability.

Explain stock market terms or trading practices to clients.

Calculate costs for billings or commissions.

Prepare financial reports to monitor client or corporate finances.

Supply the latest price quotes on any security, as well as information on the activities or financial positions of the corporations issuing these securities.

Supervise support staff and ensure proper execution of contracts.

Relay buy or sell orders to securities exchanges or to firm trading departments.

Negotiate prices or contracts for securities or commodities sales or purchases.

Prepare and send requests for price quotations to all companies in a particular market.

Price securities or commodities based on market conditions.

Purchase or sell financial derivatives for customers.

Desktop computers

Mobile computing devices

Notebook computers

Personal computers

Tablet computers

ADP/Vantra VOLTS

AIQ Systems TradingExpert Pro

CSI Complex Systems ClientTrade

Data entry software

Email software

Graphics software

Microsoft Excel

Microsoft Office

Microsoft PowerPoint

Microsoft Word

Regulatory agency compliance software

Web browser software

10-key calculators

Fund accounting software

IBM Cognos Impromptu

LinkedIn

Microsoft Dynamics GP

Microsoft SharePoint

Scheduling software

Computer data input scanners

Laser facsimile machines

Multi-line telephone systems

Photocopying equipment

Customer information control system CICS

Linux

Microsoft Visual Basic

The MathWorks MATLAB

Develop leadership skills, work on your presentation and speaking abilities, take an interest in finances and banking.

I respond to clients needs via email and phone, I proactively call on existing and potential new clients, meet with clients and prospects face-to-face, create proposals or term sheets for clients, write credit memos to the bank's underwriting and risk team regarding clients and prospects.

Relationship Manager

You are too young to be a commercial banker.  How can I trust you?

Jason Campbell

Relationship Manager

Milestones

Education

Career

Career Roadmap

My work combines:

My work combines:

Business

Numbers

Helping People

Day to Day

Advice for Getting Started

Recommended Education

Hurdles

The Noise I Shed

From Society in General:

Jason Campbell

Relationship Manager

Milestones

Education

Career

Career Roadmap

My work combines:

My work combines:

Business

Numbers

Helping People

Day to Day

Advice for Getting Started

Recommended Education

My career is related to what I studied. I'd recommend the path I took:

Hurdles

The Noise I Shed

From Society in General:

Related Leaders