---
name: financial-broker
description: "Occupational skill for the role 'financial broker' (also: financial services broker, financial services adviser, finance adviser, finance broker, financial services manager, broker). Use when the user asks for typical financial broker work such as: Make bids or offers to buy or sell securities.; Monitor markets or positions.; Agree on buying or selling prices at optimal levels for clients."
---

# Financial Broker

Financial brokers undertake financial market activities on behalf of their clients. They monitor securities, financial documentation of their clients, market trends and conditions and other legal requirements. They plan buying and selling activities and calculate transactions costs.

## Core workflow

1. Make bids or offers to buy or sell securities.
2. Monitor markets or positions.
3. Agree on buying or selling prices at optimal levels for clients.
4. Keep accurate records of transactions.
5. Buy or sell stocks, bonds, commodity futures, foreign currencies, or other securities on behalf of investment dealers.
6. Complete sales order tickets and submit for processing of client-requested transactions.
7. Report all positions or trading results.
8. Interview clients to determine clients' assets, liabilities, cash flow, insurance coverage, tax status, or financial objectives.

## How to use this skill

- Read `references/profile.md` for the occupation profile and scope.
- Consult `references/tasks.md` for the full task and activity inventory.
- Check `references/skills.md` for essential vs. optional competences.
- Check `references/tools.md` for the software commonly used in this role.

## Key competences (essential)

- actuarial science
- advise on financial matters
- analyse market financial trends
- apply technical communication skills
- create a financial plan
- economics
- financial jurisdiction
- financial products
- maintain financial records
- manage financial risk
- obtain financial information
- protect client interests
- provide financial product information
- securities
- synthesise financial information

## Hot technologies

- The MathWorks MATLAB
- Salesforce software
- Microsoft Access
- Microsoft Visual Basic
- Microsoft SharePoint
- Microsoft Outlook
- Oracle PeopleSoft
- SAP software
- C++
- Oracle Java

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*Sources: ESCO v1.2.1 (http://data.europa.eu/esco/occupation/c01cdf85-3ce0-4d12-ae86-e4e63493fafa), O*NET 30.3 (41-3031.00). See manifest.json for licensing/attribution.*
