The University of Western Australia
Future Students

Financial Dealer

Conduct financial market transactions on behalf of clients and offer advice on financial matters.

Financial dealers:

  • get information on securities, market conditions, government regulations and financial circumstances of clients
  • deal in the marketplace on behalf of clients and provide financial advice
  • record and give 'buy' and 'sell' orders
  • calculate and record costs of transactions
  • develop lists of appropriate investments for clients
  • plan buying and selling activities

You will find entry to a career as a finance dealer competitive. Firms usually recruit applicants who can demonstrate a strong academic background.

It takes some time to gain the experience required for advancement and many firms demand specialised qualifications or relevant experience.

Financial dealers and brokers work in stockbroking firms, financial planning organisations, banks, building societies, accounting and law practices and other organisations within the finance and investment sector.

People in this occupation have a legal obligation to provide sound advice and consequently the job has considerable responsibility attached to it. Once experience has been gained, opportunities for advancement are generally very good.

While there is an increasing demand throughout the country for financial advisory services, banks and other financial institutions are increasingly focusing their dealer functions in their head offices in Sydney and Melbourne.

Source: myFuture

 

Disclaimer: This page provides study pathway and career options as a guide only. You should contact the Admissions Centre, International Centre or relevant Faculties for full details.

Study pathways

The following study pathway shows the most common and direct route for a UWA student to pursue this career.

  1. Undergraduate

  2. This course is required to pursue this career.

  3. Other relevant majors include:

    .

  4. Postgraduate

    Postgraduate qualifications are usually required to become fully qualified as a financial dealer and broker.

    Courses are run through Financial Services Institute of Australasia (Finsia) and the Financial Planning Association. 

    Depending on the specific role, you may be required to be licensed or registered in order to work in this field. Details can be found on the Australian Securities and Investments Commission website. You may also be required to hold a certain level of membership with a particular professional association.

    Contact the Financial Planning Association or Finsia for further information.

Footnote links and information

This page:

Last updated
Thursday, 19 June, 2014 11:12 AM
Website feedback
webfeedback-fs@uwa.edu.au
Page ID
1605046