Consolidating investments into one advisor
Short-term financing requirements focus on managing cash/investments and short-term borrowing and lending.
In addition to providing research and trading services for external clients, the securities dealer will also trade for its own account, known as proprietary trading.
The middle office is the interface between the front and back office.
Advice and deal implementation related to mergers and acquisitions also fall into this sector.
The institutional area of a securities dealer also caters to mutual fund, hedge fund and pension fund managers by providing research and equity, fixed income and derivatives trading capabilities to help them fulfil their investment mandates.
In addition to those who work for an employer, many people choose to be an independent agent, broker or financial planner/advisor.
Responsible for ensuring that staff at the branch, regional or head office level, follow processes and procedures that comply with corporate and regulatory policies.The Retail Sector includes roles serving the general public or small business owners, generally in a sales, marketing, advisory or servicing capacity.This sector offers the greatest employment opportunity as it encompasses the distribution networks of Canada's banks, credit unions, securities dealers, mutual fund dealers and insurance companies.These roles can include Marketing, Human Resources, and Information Technology.Most importantly, there are those employees whose responsibility is to ensure the integrity of the business and manage business risk.Security firms that have been licensed by the Investment Industry Regulatory Organization of Canada (IIROC) to deal in a wide range of investment vehicles including equities (stocks), fixed-income securities, money market securities, mutual funds, derivatives and alternative investments.