Stockbroker Job Description to work on the Client’s Name

A stockbroker job description outlines the duties and requirements to gain many purposes. Hiring, explaining job duties, and emphasizing the role of the stockbroker exist in this template. Indeed, each broker agency must have a Stockbroker job description resume. Without this document, the hiring process will be difficult to achieve.

8 Stockbroker Job Description Liabilities to Comply with

Trading Representative, Investment Brokers, Registered Representative, and Share broker are the other names of the Stockbroker. It works by purchasing and trading securities and hares on behalf of clients. Besides that, the broker evaluates the securities and shares performances on the stock market before recommending to clients.

According to the Stockbroker job description, those primary responsibilities divide into 8 duties:

  1. Provide clients with investment advice accurately.
  2. Evaluate accurately financial reports.
  3. Manage portfolios of clients’ investment.
  4. Keep updating the latest financial news.
  5. Provide regular updates of the client’s investment portfolios.
  6. Inform new investment opportunities to clients in the stock market.
  7. Gathering source new clients through cold calling and networking.
  8. Make investment strategies changes according to the market conditions.

9 Requirements on the Stockbroker Job Description 2020

It is almost the same as the responsibilities, the Stockbroker job description informs on 9 qualifications. It consists of:

  • The stockbroker must graduate from Business, Finance, or Accounting in a bachelor’s degree.
  • Besides that, the candidate has been registering in FINRA (Financial Industry Regulatory Authority).
  • The knowledge of financial market operation should excellent. Proficient in handling IT and Mathematics.
  • Evaluate complex information.
  • Strong analytical skills.
  • Excellent negotiation skills.
  • Willing to work under pressure.
  • Work long hours because of the different time zones.

5 Guides to Interview the Stockbroker Applicants

Regard you have finished your job description and you might think it truly finishes. Well, it is not true. The last step to get the best Stockbroker invites the candidates for an interview section. Use this template to organize the questions containing 5 following guides:

  1. Firstly, you should know how the candidate makes the best decision of the investment on behalf of clients.
  2. Find out what their method to source new clients.
  3. Ask about how to update the latest financial news.
  4. Ask about the action to resolve the poor investment decision where it is on behalf of a client.
  5. You should ask about their investment strategy to source the best investment for clients.

Utilize this Stockbroker job description as well as possible to screen the candidate effectively and efficiently. Feel free to adapt the template to mix with the policy and regulation of your company. You must undertake it because each investment agency may have different necessities. Thank you for reading. Good luck!


  • What is a Stockbroker?

A Stockbroker is the same as the Share Broker, Trading Representative, Registered Representative, or Investment Brokers. The Stockbroker works with purchasing and selling holding and securities on behalf of a client.

  • What are the Stockbroker’s Primary Responsibilities?

Meanwhile, the primary responsibilities are evaluating securities and share performance.  They evaluate them on the stock market and then provide recommendations to clients.

  • What do you should do in the Interview Section?

You have seen 5 essential questions to screen the Stockbroker candidates. Add your questions according to the need, regulations, and policies of your company.



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