Career Overlap Transition record Edition 1 · ESCO v1.2.1
Table 1Transition record

securities underwritertofinancial broker

A securities underwriter already meets 69% of what the financial broker role asks for. The move turns on 4 required skills not yet in the profile.

From securities underwriter
69%
Overlap1
To financial broker
19 Skills carried over
4 Required, not held
31.1 Difficulty2
Career overlap Strong match

69%

Learning distance Real move, short list to learn

31.1/ 100

1 Share of the financial broker role’s weighted skill requirement already met by the securities underwriter profile. Required skills count in full, supplementary skills at 0.35. Directional: the figure for the reverse move differs. 2 Combines what is missing with how specialised it is, so a gap of general skills scores easier than the same number of narrow ones.

Why

Why this move works

A financial broker role treats 12 of its required skills as things a securities underwriter already does. These are the ones it depends on most.

  • actuarial science
  • advise on financial matters
  • analyse market financial trends
  • apply technical communication skills
  • create a financial plan
  • economics

What stands in the way is 4 required skills the profile does not yet cover. Table 3 groups them; Table 4 says which to take first.

Table 2

Table 2 · What you already bring

Of the 19 skills that carry over, these are the ones fewest other occupations ask for. A financial broker role needs them, and most people applying for one will not have them already. This is the part of a securities underwriter background worth leading with.

Skill the target role also needs Area
  • already held trade securities communication, collaboration and creativity
  • already held operate financial instruments management skills
  • already held provide support in financial calculation information skills
  • already held maintain records of financial transactions information skills
  • already held trace financial transactions information skills
  • already held financial jurisdiction business, administration and law

All 19 carried skills, including the 12 the financial broker role treats as required.

Table 3

Table 3 · What you would need to learn

The 11 missing skills fall into 4 areas of the ESCO skill hierarchy, numbered below in the order worth working in: the areas carrying the most required skills come first, and inside each one the required skills sit above the supplementary ones.

Skill to acquire Tier
01 information skills 3 required, 2 supplementary
  • required, not held maintain financial records required
  • required, not held obtain financial information required
  • required, not held synthesise financial information required
  • optional, not held conduct financial audits optional
  • optional, not held provide cost benefit analysis reports optional
02 communication, collaboration and creativity 1 required, 3 supplementary
  • required, not held provide financial product information required
  • optional, not held communicate with customers optional
  • optional, not held handle financial disputes optional
  • optional, not held review investment portfolios optional
03 business, administration and law 1 supplementary
  • optional, not held modern portfolio theory optional
04 management skills 1 supplementary
  • optional, not held optimise financial performance optional
Table 4

Table 4 · Where to start

The 3 entries a financial broker role is least likely to hire without. The ordering is computed from the skill data, not from what pays.

Each entry opens a course search for that skill. Career Overlap earns nothing from these links.

Appendix

Appendix · The rest of the record

All 19 skills that carry over
Skill Type
  • already held actuarial science knowledge
  • already held advise on financial matters skill
  • already held analyse market financial trends skill
  • already held apply technical communication skills skill
  • already held create a financial plan skill
  • already held economics knowledge
  • already held financial jurisdiction knowledge
  • already held financial products knowledge
  • already held manage financial risk skill
  • already held protect client interests skill
  • already held securities knowledge
  • already held trade securities skill
  • already held banking activities knowledge
  • already held communicate with banking professionals skill
  • already held handle financial transactions skill
  • already held maintain records of financial transactions skill
  • already held operate financial instruments skill
  • already held provide support in financial calculation skill
  • already held trace financial transactions skill
7 supplementary skills, helpful but not required
Skill to acquire Tier
  • optional, not held communicate with customers optional
  • optional, not held conduct financial audits optional
  • optional, not held handle financial disputes optional
  • optional, not held modern portfolio theory optional
  • optional, not held optimise financial performance optional
  • optional, not held provide cost benefit analysis reports optional
  • optional, not held review investment portfolios optional
14 held skills the financial broker role does not ask for
Skill Type
  • not needed by the target role analyse economic trends skill
  • not needed by the target role analyse financial risk skill
  • not needed by the target role assess risks of clients' assets skill
  • not needed by the target role build business relationships skill
  • not needed by the target role commercial law knowledge
  • not needed by the target role financial forecasting knowledge
  • not needed by the target role financial markets knowledge
  • not needed by the target role forecast economic trends skill
  • not needed by the target role manage securities skill
  • not needed by the target role monitor stock market skill
  • not needed by the target role perform stock valuation skill
  • not needed by the target role statistics knowledge
  • not needed by the target role stock market knowledge
  • not needed by the target role tax legislation knowledge
1 gaps that are knowledge rather than practice

Knowledge gaps usually close through study. Practical skill gaps usually need something you can point at.

Skill to acquire Tier
  • optional, not held modern portfolio theory optional
Index

Other moves recorded from securities underwriter

Full index of moves from securities underwriter

Note

How this record was compiled

Both occupations are taken from ESCO, which lists the skills and knowledge each occupation is expected to have and marks every one required or optional. Nothing here is a prediction about hiring, and nothing here knows that a particular employer wants a particular certificate. Treat Table 3 as a starting point for your own research rather than a syllabus. The full method states what these figures can and cannot tell you.