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Investment Services Dealers

Descriptions & Duties

  • Investment Services Dealers provide quotes and execute orders.

Generic Competencies

Physical Abilities

Physical abilities

  • Physical strength
  • Eye hand coordination / precision / dexterity


Importance:1 (Max:5) 

Skill is rarely required


Technology Skills

Technology skills

  • Computer literacy
  • Application of technology


Importance:4 (Max:5) 

Skill is frequently required


Cognitive Abilities

Cognitive abilities

  • Creativity
  • Visualisation
  • Logical thinking


Importance:3 (Max:5) 

Skill is basically required


Comprehension And Expression

Comprehension and expression skills

  • Reading comprehension
  • Oral / written expression


Importance:3 (Max:5) 

Skill is basically required


Social Skills

Social skills

  • Communication
  • Negotiation
  • Persuasion


Importance:3 (Max:5) 

Skill is basically required


Organisation And Execution Skills

Organisation and execution skills

  • Planning
  • Organising
  • Judgement
  • Decision making


Importance:3 (Max:5) 

Skill is basically required


Problem Solving Skills

Problem solving skills

  • Ability to solve simple and complex problems effectively and efficiently


Importance:3 (Max:5) 

Skill is basically required


Management Skills

Management skills

  • Leadership
  • Management of finance / time / people / other resources


Importance:2 (Max:5) 

Skill is occasionally required


Trade Specific Competencies

Customer-service skills

Investment Services Dealers must be persuasive and make clients feel comfortable with their recommendations.

Decision-making skills

Investment Services Dealers may make decisions with large sums of money at stake.

Detail oriented

Investment Services Dealers must pay close attention to the details of initial public offerings and mergers and acquisitions because small changes can have large consequences.


Investment Services Dealers  must create their own client base by making "cold" sales calls to people to whom they have not been referred and to people not expecting the call.

Mathematics skills

To judge the profitability of potential deals, Investment Services Dealers must have strong math skills.

General Requirements

Academic qualification

  • A recognised bachelor's degree in business administration, finance, accounting, economics or equivalent

Professional qualification

  • must be licensed or a registered dealers or securities dealer's representatives with the Securities and Futures Commission; typically passed the Licensing Examination for Securities and Futures Intermediaries (LE) conducted by the Hong Kong Securities and Investment Institute (HKSI)


  • usually 2 years of relevant industry experience is required

Other specific requirements

  • intensive on-the-job training is required

Career Path & Salary

Private Sector

Monthly Salary $15,000-$35,000

Monthly Salary $20,000-$50,000

Monthly Salary $30,000-$70,000

Related Education & Training

Work Environment

  • Investment Services Dealers usually work regular business hours and may work many hours under stressful conditions. They sometimes have to work during evenings and weekends.


  • Special purpose telephones - Multi-line telephone systems

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