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Securities, Commodities, and Financial Services Sales Agents

SOC 41-3031.00Job Zone 4 · Considerable Preparationv.26.05

Context coveredThis framework covers securities, commodities, and financial services sales practice in licensed brokerage and advisory environments, spanning retail and institutional client segments from entry-level trade execution through executive-level strategy and governance.

Sources:O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.SkillsCrosswalkSkillsCrosswalk — O*NET enrichment + adjacency index. Opens in new tab.
Emerging
Entry / Apprentice
  1. Sales order tickets — complete and submit accurately under supervisor review for client-requested transactions on a licensed brokerage desk.
  2. Client financial profiles — gather basic data on assets, liabilities, and cash flow during structured intake interviews with guidance from a senior agent.
  3. Transaction records — maintain accurate logs of buy and sell activity using firm-provided accounting software under direct oversight.
  4. Market positions — monitor assigned watchlists and report observed price movements to a supervising trader using desktop communications tools.
  5. Securities terminology — demonstrate foundational comprehension of stocks, bonds, and commodity futures in written and oral communications with team members.
  6. Bid and offer mechanics — recognize standard bid/ask procedures and assist senior agents in preparing preliminary bids under close direction.
  7. CRM software — enter and update client contact and account information into the firm's customer relationship management system following established protocols.
  8. Compliance documentation — follow prescribed regulatory recordkeeping procedures to ensure all client transaction records meet basic legal and administrative standards.
  9. Client financial objectives — identify and document stated investment goals, tax status, and insurance coverage during supervised discovery conversations.
  10. Position reports — compile daily trading result summaries using reporting templates and submit to supervisors for review and approval.
Developing
Mid-level / Established
  1. Buy and sell orders — execute client-directed transactions across stocks, bonds, and foreign currencies with reduced oversight on an active trading desk.
  2. Market conditions — monitor multiple asset classes simultaneously using financial analysis software and flag developing risks to the client portfolio.
  3. Client interviews — conduct independent discovery sessions to assess financial objectives, cash flow, liabilities, and tax status with moderate complexity clients.
  4. Negotiated pricing — agree on buying or selling prices at levels favorable to clients by applying current market knowledge and basic negotiation skills.
  5. Trade confirmations and records — verify and reconcile transaction data in database systems to ensure accuracy and regulatory compliance after each trading session.
  6. Sales presentations — prepare and deliver clear written and oral communications explaining investment options to retail or institutional clients using relevant financial data.
  7. Position reporting — produce timely and complete reports of all trading positions and results for compliance and management review in a regulated brokerage environment.
  8. Client relationship management — maintain ongoing client contact through electronic mail and CRM tools, proactively addressing routine account inquiries and service needs.
  9. Risk signals — apply critical thinking to evaluate market indicators and identify emerging threats or opportunities affecting client portfolios in familiar asset classes.
  10. Time-sensitive order processing — prioritize and complete multiple sales order tickets accurately under moderate time pressure on a fast-paced trading floor.
Proficient
Senior / Expert IC
  1. Complex bid and offer strategies — structure and execute competitive bids or offers autonomously across equities, fixed income, futures, and currency markets to optimize client outcomes.
  2. Portfolio-level market monitoring — continuously assess cross-asset market dynamics using business intelligence and financial analysis software, acting independently on non-routine signals.
  3. Comprehensive client financial planning — conduct in-depth interviews with high-net-worth clients to evaluate full financial pictures including tax implications, insurance gaps, and multi-year objectives.
  4. Optimal pricing negotiation — independently negotiate buying and selling prices at levels that balance client value and firm profitability in volatile or illiquid market conditions.
  5. Regulatory recordkeeping — maintain and audit transaction records across all account types ensuring full compliance with SEC, FINRA, and firm-specific documentation standards.
  6. Customized investment solutions — design tailored securities and commodities strategies aligned with individual client risk tolerance, time horizon, and financial objectives without supervisory input.
  7. Advanced position reporting — generate and interpret comprehensive trading result analyses, identifying performance variances and communicating findings clearly to management and clients.
  8. Client persuasion and retention — apply sophisticated social perceptiveness and persuasion techniques to address objections, deepen client relationships, and grow assets under management.
  9. Systems-level problem solving — diagnose complex issues in transaction server software or order processing workflows and implement solutions that minimize client impact during disruptions.
  10. Cross-functional compliance coordination — lead coordination with legal, compliance, and back-office teams to resolve non-routine regulatory inquiries and ensure accurate reporting to governing bodies.
Advanced
Lead / Principal / Executive
  1. Firm-wide trading strategy — set the directional framework for securities and commodities sales practices across business lines, aligning execution standards with organizational growth objectives.
  2. Market risk governance — establish enterprise-level protocols for monitoring positions and escalating systemic market risks, ensuring the firm's exposure remains within board-approved thresholds.
  3. Client relationship architecture — design and champion a client engagement model that integrates CRM technology, financial planning tools, and service standards to maximize long-term retention at scale.
  4. Regulatory strategy and advocacy — represent the firm in interactions with regulatory bodies, shape internal compliance frameworks, and interpret evolving law and government requirements for senior leadership.
  5. Talent development pipeline — mentor and evaluate a team of developing and proficient agents, designing training programs that accelerate licensing, product knowledge, and client-facing skill progression.
  6. Revenue and pricing governance — lead the development of institutional pricing strategies for complex securities transactions, balancing competitive positioning with fiduciary obligations to clients.
  7. Technology investment decisions — evaluate and authorize adoption of new financial analysis, business intelligence, and transaction processing platforms to sustain competitive advantage in dynamic markets.
  8. Performance reporting framework — define the metrics, reporting cadence, and accountability structures used to evaluate trading results and sales productivity across the entire advisory division.
  9. Complex client portfolio oversight — assume ultimate responsibility for the strategic asset allocation recommendations made to the firm's largest institutional and ultra-high-net-worth client relationships.
  10. Organizational integrity culture — model and institutionalize standards of integrity, attention to detail, and dependability across the sales organization, embedding ethical conduct into hiring, review, and incentive systems.

AI-at-Work Competency Framework

Sources:Anthropic Economic IndexAnthropic Economic Index — release_2026_03_24. Opens in new tab.Jadhav & Danve, 2026Skill Automation Feasibility Index — Jadhav & Danve, 2026 (arXiv:2604.06906). Opens in new tab.WEF Skills TaxonomyWEF Skills Taxonomy 2021 — Building a Common Language for Skills at Work. Opens in new tab.
Subscriber feature

Authoritative source data identified for 998 occupations

How a worker at each mastery level uses, directs, and evaluates AI tools in this occupation. Each statement cites its evidence inline; click a citation chip to verify the source.

Emerging
  1. AI-generated market summaries — consumes daily briefings and price alerts produced by AI tools to stay current on securities movements, without yet independently filtering or questioning the outputs Anthropic Economic IndexAnthropic Economic Index — release_2026_03_24. Opens in new tab. WEF Skills TaxonomyWEF Skills Taxonomy 2021 — Building a Common Language for Skills at Work. Opens in new tab..
  2. Transaction record drafting — uses AI-assisted templates to log basic buy/sell details, checking entries against confirmation slips before submission Anthropic Economic IndexAnthropic Economic Index — release_2026_03_24. Opens in new tab..
Developing
  1. Portfolio monitoring assistance — directs AI dashboards to flag position thresholds and unusual price moves, then escalates alerts to a senior agent for final judgment Anthropic Economic IndexAnthropic Economic Index — release_2026_03_24. Opens in new tab. Jadhav & Danve, 2026Skill Automation Feasibility Index — Jadhav & Danve, 2026 (arXiv:2604.06906). Opens in new tab..
  2. Client communication drafting — leverages AI to produce first-draft outreach and trade rationale summaries, editing for tone and accuracy before delivery to clients Anthropic Economic IndexAnthropic Economic Index — release_2026_03_24. Opens in new tab..
  3. Regulatory document review — delegates initial reading of prospectuses and compliance disclosures to an AI reading-comprehension tool, then verifies flagged clauses against firm policy Jadhav & Danve, 2026Skill Automation Feasibility Index — Jadhav & Danve, 2026 (arXiv:2604.06906). Opens in new tab. WEF Skills TaxonomyWEF Skills Taxonomy 2021 — Building a Common Language for Skills at Work. Opens in new tab..
Proficient
  1. Bid/offer optimization — runs AI-powered pricing models to identify optimal entry and exit levels, then applies critical judgment to accept, adjust, or override the suggested levels before executing trades Anthropic Economic IndexAnthropic Economic Index — release_2026_03_24. Opens in new tab. Jadhav & Danve, 2026Skill Automation Feasibility Index — Jadhav & Danve, 2026 (arXiv:2604.06906). Opens in new tab..
  2. Real-time market monitoring — orchestrates AI surveillance tools to track multiple securities simultaneously, interpreting anomalies and making time-sensitive decisions without waiting for human escalation Anthropic Economic IndexAnthropic Economic Index — release_2026_03_24. Opens in new tab. WEF Skills TaxonomyWEF Skills Taxonomy 2021 — Building a Common Language for Skills at Work. Opens in new tab..
  3. Client needs analysis — uses AI to surface historical transaction patterns and risk-profile signals for each client, integrating those insights into persuasive, tailored recommendations during advisory conversations Anthropic Economic IndexAnthropic Economic Index — release_2026_03_24. Opens in new tab. Jadhav & Danve, 2026Skill Automation Feasibility Index — Jadhav & Danve, 2026 (arXiv:2604.06906). Opens in new tab..
  4. Compliance audit trail generation — directs AI to compile and format transaction logs for regulatory review, personally verifying data integrity and signing off on accuracy Anthropic Economic IndexAnthropic Economic Index — release_2026_03_24. Opens in new tab..
Advanced
  1. AI strategy evaluation — assesses the fitness of firm-deployed AI trading and monitoring tools by stress-testing outputs against live market conditions and historical edge cases, recommending adoption, modification, or retirement of models Jadhav & Danve, 2026Skill Automation Feasibility Index — Jadhav & Danve, 2026 (arXiv:2604.06906). Opens in new tab. WEF Skills TaxonomyWEF Skills Taxonomy 2021 — Building a Common Language for Skills at Work. Opens in new tab..
  2. Cross-asset risk synthesis — choreographs multiple AI agents covering equities, fixed income, commodities, and foreign exchange to produce a consolidated risk view, then exercises final judgment on hedging actions and client portfolio rebalancing Anthropic Economic IndexAnthropic Economic Index — release_2026_03_24. Opens in new tab. Jadhav & Danve, 2026Skill Automation Feasibility Index — Jadhav & Danve, 2026 (arXiv:2604.06906). Opens in new tab..
  3. AI workflow design for trading desks — architects end-to-end AI-assisted workflows for junior agents, defining handoff protocols that preserve human decision authority at critical execution and client-advisory touchpoints Anthropic Economic IndexAnthropic Economic Index — release_2026_03_24. Opens in new tab. WEF Skills TaxonomyWEF Skills Taxonomy 2021 — Building a Common Language for Skills at Work. Opens in new tab..
  4. Autonomous delegation boundaries — sets and enforces explicit limits on AI autonomy within the desk's trading operations, informed by the occupation's measured low-autonomy profile, ensuring human oversight at every significant market decision Anthropic Economic IndexAnthropic Economic Index — release_2026_03_24. Opens in new tab..
  5. Emerging-tool due diligence — evaluates new AI vendors and algorithmic tools against regulatory standards and firm risk appetite, translating technical capability claims into concrete operational and compliance assessments Jadhav & Danve, 2026Skill Automation Feasibility Index — Jadhav & Danve, 2026 (arXiv:2604.06906). Opens in new tab. WEF Skills TaxonomyWEF Skills Taxonomy 2021 — Building a Common Language for Skills at Work. Opens in new tab..
Evidence pack
AEI usage
Task observations: 1092
Augment share: 95%
Time saved: 91.8%
AI autonomy: 2.91
SAFI positioning
Top skill: Active Listening
Score: 42.2 / 100
Quadrant: Q2_ai_augmented
precision: exact
WEF cluster
Human-Technology Interaction
human_technology_interaction
Sources:Anthropic Economic IndexAnthropic Economic Index — release_2026_03_24. Opens in new tab.WEF Skills TaxonomyWEF Skills Taxonomy 2021 — Building a Common Language for Skills at Work. Opens in new tab.Jadhav & Danve, 2026Skill Automation Feasibility Index — Jadhav & Danve, 2026 (arXiv:2604.06906). Opens in new tab.

Pathsmith Durable Skills Framework

Sources:Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Subscriber feature

Ten durable-skill domains mapped to four proficiency/role levels for each occupation. Each statement is aligned to the Pathsmith taxonomy, derived from trusted grounding data and mapped to occupation-specific O*NET tasks and skills.

1Communication8 statements
Emerging
  1. Client intake communication — collects basic financial information by asking structured questions during initial client interviews to identify assets, liabilities, and objectives Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Trade confirmation language — relays buy or sell order details to clients using clear, jargon-limited explanations during transaction processing Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Developing
  1. Financial product explanation — describes characteristics of stocks, bonds, commodity futures, and foreign currencies to clients in accessible terms tailored to their knowledge level Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Written reporting accuracy — documents all positions and trading results in written reports that are precise, complete, and compliant with recordkeeping standards Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Applying
  1. Client needs articulation — synthesizes client interviews into clear financial profiles that reflect cash flow, insurance coverage, tax status, and investment objectives for actionable recommendations Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Market condition briefing — communicates current market movements and their portfolio implications to clients through timely verbal and written updates that drive informed decisions Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Exceeding
  1. Persuasive investment narrative — constructs compelling, evidence-based presentations that align complex securities strategies with client goals across diverse investor sophistication levels Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Cross-audience financial communication — adapts messaging seamlessly between retail clients, institutional counterparties, and compliance personnel, ensuring accuracy and appropriate tone in every context Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
2Leadership8 statements
Emerging
  1. Client relationship ownership — takes personal responsibility for following up on submitted sales order tickets and ensuring client-requested transactions are processed accurately Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Self-directed market learning — proactively seeks out market data and product knowledge to build competence without waiting for managerial direction Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.
Developing
  1. Account initiative — identifies opportunities to optimize client portfolios by proposing adjusted positions before clients raise concerns, demonstrating proactive stewardship Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Peer knowledge sharing — guides junior agents through transaction documentation procedures and compliance requirements within team settings Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.
Applying
  1. Client portfolio leadership — leads the investment decision-making process for assigned accounts by setting clear strategies, monitoring outcomes, and adjusting course as market conditions shift Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Accountability in adverse markets — takes visible ownership of trading losses or missed opportunities by communicating transparently with clients and presenting corrective action plans Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Exceeding
  1. Team and practice development — mentors developing agents in securities sales methodology, market analysis, and client relationship management, elevating team-wide performance Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.
  2. Strategic client leadership — shapes long-term investment strategies for high-value accounts by anticipating macroeconomic shifts and mobilizing resources to act decisively on behalf of clients Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
3Metacognition8 statements
Emerging
  1. Trade decision reflection — identifies personal knowledge gaps in securities categories after executing initial transactions and seeks targeted learning resources to address them Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.
  2. Error pattern recognition — reviews own order ticket submissions to detect recurring mistakes and adjusts personal documentation habits accordingly Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Developing
  1. Market judgment calibration — compares own trade timing decisions against actual market outcomes to assess the accuracy of personal forecasting assumptions Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Learning strategy selection — chooses appropriate study approaches—regulatory reading, market simulation, or mentorship—based on self-assessed skill gaps in financial products or compliance Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.
Applying
  1. Cognitive bias monitoring — recognizes tendencies toward overconfidence or loss aversion in own trading recommendations and applies structured frameworks to counteract them before client interactions Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Performance self-evaluation — systematically reviews portfolio outcomes against stated client objectives to gauge the effectiveness of personal advisory strategies and refine them Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Exceeding
  1. Expert self-regulation — monitors own decision-making processes in real time during volatile market sessions, adjusting analytical strategies when initial frameworks prove insufficient Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Metacognitive coaching — teaches developing agents to examine their own reasoning during trade decisions, embedding reflective practice into team culture Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.
4Critical Thinking8 statements
Emerging
  1. Market data interpretation — reads and extracts relevant price, volume, and trend information from market reports to support basic buy or sell decisions Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Client financial assessment — evaluates basic client-provided information on assets and liabilities to identify whether investment objectives are realistic Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Developing
  1. Securities valuation analysis — applies fundamental and technical analysis principles to evaluate whether current bid or offer prices represent optimal execution levels for clients Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Risk-return evaluation — weighs the potential gains and losses of competing securities options against client risk tolerance and tax status before making recommendations Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Applying
  1. Portfolio position critique — examines existing client holdings for concentration risk, liquidity constraints, and alignment with stated financial objectives, recommending adjustments with reasoned justification Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Market assumption testing — challenges prevailing market narratives by identifying conflicting economic indicators and assessing their implications for client positions Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Exceeding
  1. Systemic market analysis — synthesizes macroeconomic data, sector trends, regulatory changes, and client-specific factors into comprehensive investment theses that drive sophisticated trading strategies Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Assumption auditing for teams — leads critical review sessions where team members' investment rationales are stress-tested against alternative scenarios, improving collective analytical rigor Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.
5Collaboration8 statements
Emerging
  1. Trade desk coordination — communicates clearly with processing teams when submitting sales order tickets to ensure accurate and timely execution of client transactions Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Team reporting contribution — shares position and trading result data with supervisors and colleagues in a format that supports collective monitoring of market exposure Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Developing
  1. Cross-functional client support — collaborates with compliance, operations, and research teams to assemble complete client financial profiles and ensure recommendations meet regulatory standards Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Peer transaction review — participates in team reviews of completed transactions, offering observations and incorporating peer feedback to improve execution quality Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.
Applying
  1. Client advisory teamwork — coordinates with analysts, portfolio managers, and legal teams to deliver integrated investment solutions that address complex client needs spanning multiple asset classes Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Conflict navigation in negotiations — manages differing perspectives between buyers and sellers during price negotiation by facilitating transparent dialogue and finding mutually acceptable execution levels Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Exceeding
  1. Institutional relationship orchestration — leads collaborative efforts across trading desks, research divisions, and client relationship teams to execute large, complex transactions with minimal market impact Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Collaborative culture building — establishes shared practices for knowledge exchange and mutual accountability within sales teams, improving collective client service outcomes Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.
6Character8 statements
Emerging
  1. Transaction recordkeeping integrity — maintains accurate and complete records of all transactions without omission or alteration, upholding baseline fiduciary and regulatory standards Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Disclosure honesty — reports all positions and trading results transparently, including unfavorable outcomes, to supervisors and clients Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Developing
  1. Client-first orientation — consistently places client financial objectives above personal sales incentives when formulating investment recommendations Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Regulatory compliance adherence — follows securities regulations and firm policies during all transactions, demonstrating professional accountability even under time pressure Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Applying
  1. Ethical conflict management — identifies and discloses potential conflicts of interest in client recommendations and takes corrective action to preserve client trust and regulatory standing Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Consistent professional conduct — demonstrates dependable ethical behavior across high-stakes negotiations, volatile market conditions, and demanding client relationships without compromise Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Exceeding
  1. Integrity leadership — models and enforces ethical standards across the sales team, intervening when practices risk client harm or regulatory violation and establishing accountability norms Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.
  2. Fiduciary stewardship — champions client interests in institutional settings where short-term firm profitability could conflict with long-term client outcomes, setting precedents for responsible advisory practice Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
7Creativity8 statements
Emerging
  1. Alternative securities exploration — considers a range of asset classes—including commodity futures and foreign currencies—when constructing initial client recommendations rather than defaulting to familiar instruments Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Client engagement innovation — experiments with different communication formats and visual aids to explain complex financial products to clients with limited investment backgrounds Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.
Developing
  1. Customized portfolio construction — designs non-standard combinations of securities that address unique client tax situations, liquidity needs, and risk preferences not served by off-the-shelf products Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Market opportunity identification — generates novel trading ideas by connecting macroeconomic signals, sector data, and client cash flow patterns in ways that are not immediately obvious from standard reports Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Applying
  1. Hedging strategy innovation — develops creative hedging approaches using derivatives or cross-asset positions that protect client portfolios against identified risks while preserving upside potential Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Client acquisition strategy design — creates differentiated approaches to prospecting and relationship development that distinguish personal practice from standard industry methods Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Exceeding
  1. Structured product origination — conceives and structures novel financial instruments or investment vehicles that address unmet client needs, collaborating with product development teams to bring them to market Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Creative problem-solving under constraint — devises executable trading strategies during periods of regulatory restriction, market illiquidity, or unusual volatility that preserve client value despite limited options Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
8Growth Mindset8 statements
Emerging
  1. Licensing and regulatory learning — engages fully with required securities licensing coursework and treats examination setbacks as diagnostic information rather than indicators of fixed ability Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.
  2. Feedback receptivity — incorporates supervisor and peer feedback on trade documentation and client interaction into immediate behavioral adjustments Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Developing
  1. Market volatility as learning — treats periods of unexpected market movement as opportunities to deepen understanding of pricing dynamics and portfolio behavior under stress Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Product knowledge expansion — proactively pursues familiarity with new securities instruments and financial regulations beyond current role requirements to broaden long-term advisory capability Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Applying
  1. Loss analysis discipline — conducts structured post-mortems after underperforming trade recommendations, extracting specific lessons that improve future judgment without defensive rationalization Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Sustained effort in relationship building — persists through extended client development cycles and repeated rejections, treating each interaction as skill-building regardless of immediate outcome Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Exceeding
  1. Mastery pursuit modeling — demonstrates ongoing professional development through advanced credentials, continued market research, and voluntary engagement with emerging financial technologies, inspiring peers to adopt similar habits Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.
  2. Adversity-driven expertise — converts experience with regulatory changes, market crises, or significant client losses into refined advisory frameworks that are shared with the broader team Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
9Mindfulness8 statements
Emerging
  1. Trading environment attention — maintains focused attention on price movements and order status during market hours, minimizing errors caused by distraction in fast-paced trading environments Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Emotional awareness in client calls — recognizes own stress responses during difficult client conversations and pauses to reset before responding to maintain professionalism Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.
Developing
  1. Intentional decision pacing — resists impulsive trade execution by building deliberate pause points into the decision process, particularly during high-volatility market sessions Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Client emotion monitoring — remains attuned to shifts in client tone and concern during portfolio review conversations, adjusting advisory approach in real time to maintain trust Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Applying
  1. Stress regulation during market crises — maintains composed, analytical engagement with market data and client communications during extreme volatility without allowing emotional reactivity to distort judgment Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Present-moment focus in negotiations — gives full attention to counterparty signals during bid and offer negotiations, detecting subtle cues that inform optimal timing and pricing decisions Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Exceeding
  1. Sustained attentional discipline — monitors multiple markets, client positions, and regulatory developments simultaneously across extended trading sessions without degradation in decision quality Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Mindfulness culture contribution — models and encourages intentional, emotion-regulated decision-making practices within the sales team, reducing impulsive errors during high-pressure market periods Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.
10Fortitude8 statements
Emerging
  1. Rejection persistence — continues prospecting and client outreach after repeated refusals, maintaining consistent effort without disengagement Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Regulatory pressure tolerance — completes complex compliance documentation and licensing requirements despite their difficulty and volume without abandoning the process Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Developing
  1. Market downturn endurance — sustains professional quality and client service standards during prolonged bear markets when portfolio values decline and client satisfaction is strained Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. High-stakes decision courage — executes well-analyzed trade recommendations on behalf of clients even under uncertainty, without retreating to inaction due to fear of being wrong Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Applying
  1. Client relationship resilience — preserves and repairs client relationships after significant trading losses by engaging transparently, taking accountability, and demonstrating a credible path forward Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Sustained performance under pressure — maintains analytical rigor and ethical standards across extended periods of market instability, competitive pressure, and high transaction volume Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
Exceeding
  1. Crisis leadership endurance — guides clients and colleagues through financial crises—such as market crashes or regulatory investigations—with steady resolve, clear communication, and sustained strategic focus Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab. O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
  2. Long-term adversity modeling — demonstrates through track record that sustained effort, ethical persistence, and recovery from setbacks produce superior client outcomes, inspiring resilience across the sales team Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.
Sources:Pathsmith Durable SkillsPathsmith Durable Skills Framework — America Succeeds + CompTIA. Opens in new tab.O*NET v30.2O*NET Resource Center — Occupational Information Network, v30.2 (Sept 2025). Opens in new tab.
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Source anchors that ground each statement

Related titles
Account Administrator · Account Manager · Account Specialist · Bank and Savings Securities Trader · Banker · Banker Associate · Block Trader · Bond Broker · Bond Trader · Branch Banker · Branch Relationship Banker · Branch Sales Representative
RAPIDS apprenticeships
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O*NET skills
Active ListeningCritical ThinkingMonitoringJudgment and Decision MakingPersuasionReading ComprehensionSpeakingActive LearningWritingSocial PerceptivenessComplex Problem SolvingService OrientationSystems AnalysisMathematicsSystems EvaluationTime ManagementManagement of Financial ResourcesNegotiation
Knowledge domains
Customer and Personal ServiceEconomics and AccountingEnglish LanguageMathematicsSales and MarketingComputers and ElectronicsAdministration and ManagementLaw and GovernmentAdministrative
Abilities
Oral ComprehensionOral ExpressionDeductive ReasoningWritten ComprehensionSpeech ClaritySpeech RecognitionWritten ExpressionProblem SensitivityNear VisionInductive Reasoning
Work styles
IntegrityAttention to DetailDependabilitySocial OrientationStress ToleranceSelf-Confidence
Technology
Desktop communications softwareFinancial analysis softwareObject or component oriented development softwareCustomer relationship management CRM softwareTransaction server softwareData base user interface and query softwareElectronic mail softwareAccounting softwareGraphics or photo imaging softwareBusiness intelligence and data analysis software
Tasks · seed anchors for statements
  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.
CIP education codes
52.080452.080752.1908

Sources: O*NET v30.2 (CC BY 4.0), SkillsCrosswalk.com, LER.me, Anthropic Economic Index, SAFI (Jadhav & Danve, 2026), WEF Skills Taxonomy 2021, Pathsmith Durable Skills Framework. © 2026 EBSCOed.