FAQs and Industry Information

faqs image for Junior-BrokerHere’s for you a detailed list of information about all you need to know about entering the UK Financial Markets as an Investment broker, including qualifications, FCA approval, key skills, roles and sectors.

1. How to become FCA Approved Persons.

 2. Which finance qualifications do I need?

3. Which are the finance professional skills expected by all employers?

4. What are my study options?

Gaining the required qualifications to work within the regulated financial markets can be achieved in a variety of ways. Many prospective candidates and those who are already enjoying a fruitful career decide to study the relevant documentation at home via a distance learning program, booking exams with the associated qualifiers when they feel ready to successfully pass the exam.

Study guides & material, revision kits and practice exams can be purchased from a number of sources to facilitate learning. Junior-Broker.com provides links to an extensive range of the required texts and study material from Amazon. These can be found on our main Training and Qualifications homepage.

Junior-Broker.com also lists some of the finest teaching institutions in the world. You can search an extensive list of courses and teaching programs here. These course providers offer a huge variety of courses and teaching methods to cover all requirements. Alongside distance learning programs, they provide options for structured studies, whether day release/evening courses over many weeks or intensive programs including the end of term exams which can massively expedite your career.

If you are already employed within the markets, you may wish to inquire with your current employer about utilising some of the in-house training courses offered by these providers.

5. Which are the finance professional skills expected by all employers?

6. What are the different roles available?

You may have seen the movies or read the newspapers and decided that a life in the financial markets with all the apparent phenomenal wealth is for you. Most people outside the industry think of Charlie Sheen (his character ‘Bud Fox’ in the movie Wall Street, not the stand-up comedian), or Michael Douglas as Gordon Gheko, when considering their future career. Although these fictional characters do have some semblance of reality as ‘Brokers’, there are many different roles and job functions within the financial markets. All of these positions require different personality traits and involve very unique functions. Some of the main areas of expertise are listed below, it is crucial you understand the differing roles, and realise which of them you may be best suited to, before studying and endeavouring on your chosen career path.

a. Stockbroker

b. Trader

c. Financial Analyst

d. Investment Consultant / Wealth Manager / Private Banker

e. Portfolio / Fund Manager

f. Market Maker / Flow Trader