Job requirements Broker in Canada
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Find out what you typically need to work as a broker in Canada. 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

You might need to get a certification from a regulatory authority before you start working. Find out if this occupation is regulated and contact the regulatory authority to learn about the certification process.

Alberta

Job title Securities Agent, Investment Dealers And Brokers
Regulated

British Columbia

Job title Investment Fund Manager
Regulated
Job title Securities Advisor
Regulated
Job title Securities Associate
Regulated
Job title Securities Dealer
Regulated
Job title Security Underwriter
Regulated
Regulatory body: BC Securities Commission

Manitoba

Job title Securities Occupations
Job title Futures Commission Merchant
Regulated
Job title Commodities Merchant
Regulated
Job title Mutual Fund Dealer
Regulated
Job title Investment Dealer
Regulated
Job title Adviser (commodities)
Regulated
Job title Floor Broker
Regulated
Job title Floor Broker (commodities)
Regulated
Job title Scholarship Plan Dealer
Regulated
Job title Sales Person (commodities)
Regulated
Job title Specific Securities Dealer
Regulated
Job title Ultimate Designated Person (securities)
Regulated
Job title Associate Advising Representative (securities)
Regulated
Job title Advising Representative (Securities)
Job title Chief Compliance Officer (securities)
Regulated
Job title Advising Representative (securities)
Regulated
Job title Advisor (commodities)
Job title Dealing Representative (securities)
Regulated

Northwest Territories

Job title Securities Agent
Job title Investment Dealer And Broker

Nova Scotia

Job title Securities Agents
Regulated

Nunavut

Job title Security Agents, Investments Dealers And Brokers
Regulated
Regulatory body: Office of the Superintendent of Insurance of Nunavut (available in French only)

Ontario

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

Prince Edward Island

Job title Securities Agents
Job title Investment Dealers And Brokers

Québec

Job title Investment Dealer And Broker
Job title Securities Agent

Saskatchewan

Job title Securities Advisor
Job title Salesperson (mutual Funds)
Job title Salesperson (investment)
Job title Salesperson (scholarship Plan)
Job title Securities Agent/Investment Dealer And Broker

Yukon

Job title Securities Agents
Job title Investment Dealers And Brokers

Source Foreign Credential Recognition Program - ESDC

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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