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Financial Dealer's Assistant

VOC Course Subject Prerequisites Year 12 Preferred University Course Subject Prerequisites

Also known as Confirmations Officer, Financial Markets Operations Officer, Registry Officer and Settlements Officer.

Financial dealers' assistants assist stockbrokers and stockbroking firms in activities such as buying and selling shares, handling share certificates, processing financial market transactions and investment advising.

Financial dealers' assistants may be employed in any of the following areas: corporate actions, confirmations, settlements, reconciliations and collateral management.

In a large firm, an assistant may work in only one of these fields, whereas in a smaller firm their work may include tasks in several of these areas.


    Financial dealers' assistants may perform the following tasks:

  • record sales documentation received from clients and other financial institutions
  • check the validity of documents and facilitate settlement of financial product transactions
  • issue contract notes and confirmations
  • process sales and payments
  • contact share registries and process dividends
  • record data and undertake electronic transfer of securities
  • reconcile differences in data from transactions
  • manage funding throughout the day


  • able to make calculations quickly and accurately
  • able to work independently and under pressure
  • able to work as part of a team
  • good communication skills
  • strong attention to detail
  • able to think analytically and solve problems

Interest Area

Figures/Computational Clerical/Administrative Influencing/Personal Contact


VOC Course Subject Prerequisites Year 12 Preferred University Course Subject Prerequisites

To become a financial dealer's assistant you usually have to complete a VOC qualification in financial services, financial markets operations or accounting. As subjects and prerequisites can vary between institutions, you should contact your chosen institution for further information.

Entry to this occupation may be improved if you have a degree in accounting, business, commerce, finance or a related field. To get into these courses you usually need to gain your HSC/ACT Year 12. Prerequisite subjects, or assumed knowledge, in one or more of English and mathematics are normally required. Most universities in Australia offer degrees in these areas.

Universities have different prerequisites and some have flexible entry requirements or offer external study. Contact Open Universities Australia or the universities you are interested in for more information as requirements may change.


Financial dealers' assistants usually work in banks and stockbroking firms, although some are employed by financial planning organisations, building societies and other organisations in the finance and investment sector.

Entry to this career is competitive. Advancement requires a great deal of experience, expertise and usually some further training.

Job opportunities depend on the economic climate and financial market activity. The increase in electronic transaction processing (through the Clearing House Electronic Subregister System (CHESS), for example) and the trend for banks and other financial institutions to limit their local dealer functions has seen a tendency towards centralising operations in head offices based in Brisbane, Melbourne and Sydney.

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More Information - External Links

Job Outlook for Financial Dealer's Assistant Australian Financial Markets Association (AFMA) Finance Sector Union Finsia

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