该小组履行以下部分或全部职责：

财务检查员和检查员

• 审查和检查银行、信托公司、信用合作社、大众银行、信贷公司、房地产公司、保险公司、养老基金、证券经纪人和其他金融服务机构，以确保遵守适用的法律法规。

金融调查员

• 调查从事证券和商品期货交易或提供相关金融服务的个人或公司可能存在的不道德行为或违反证券或商品期货法的行为。

金融承销商

• 分析客户请求以评估股票、债券、抵押贷款或其他融资解决方案的风险和细节
• 与企业、政府或个人协商确定金融产品的类型和条款，并准备招股说明书或合同
• 可以承销新发行的股票和债券。

信托人员

• 管理遗产、个人、慈善、公司和其他类型的信托
• 直接信托账户投资，接收和记录投资收入以及支付信托资金。

抵押贷款经纪人

• 与客户会面以获取有关收入、负债和资产的信息，以及要抵押的财产的类型、价格和状况
• 代表客户与贷方或贷款机构协商抵押贷款。

• 通常需要工商管理、商业、经济学或相关领域的学士学位。
• 加拿大证券协会、加拿大银行家协会、特许金融分析师协会、加拿大投资基金协会和信托公司协会等金融机构和组织提供各种培训计划和课程，雇主可能会要求提供这些培训项目和课程。
• 可能需要获得认可的财务指定（CFA、CIM 或其他）。
• 财务检查员和检查员可能需要公认的会计指定。
• 在不列颠哥伦比亚省、艾伯塔省、萨斯喀彻温省、曼尼托巴省、安大略省、魁北克省、新不伦瑞克省、纽芬兰和拉布拉多省以及新斯科舍省，抵押贷款经纪人需要抵押贷款经纪人执照。

• 随着经验的积累，有可能晋升到财务管理职位。
• 虽然这些职位需要高度的培训和资格，但担任这些职位的人必须不断更新技能并追求专业发展。

• 广告、营销和公共关系经理（10022）
• 银行、信贷和其他投资经理（10021）
• Economic development officer (in 41402 Business development officers and market researchers and analyts )
• 经济学家（在41401 经济学家和经济政策研究人员和分析师中）
• 金融与投资分析师（11101）
• 保险、房地产和金融经纪经理（10020）
• 其他商业服务经理（10029）
• 证券代理人、投资交易商和经纪人（11103）

This group performs some or all of the following duties:

Financial examiners and inspectors

• Review and examine banks, trust companies, credit unions, caisses populaires, credit companies, real estate companies, insurance companies, pension funds, securities brokers and other financial services and institutions to ensure compliance with governing legislation and regulations.

Financial investigators

• Investigate possible unethical conduct or breaches of securities or commodity futures laws by persons or companies that trade in securities and commodity futures or that provide related financial services.

Financial underwriters

• Analyze clients requests to assess risk and details of stocks, bonds, mortgages or other financing solutions
• Negotiate with corporations, governments or individuals to determine the type and terms of financial products and prepare offering prospectuses or contracts
• May underwrite new issues of stocks and bonds.

Trust officers

• Administer estate, personal, charitable, corporate and other types of trusts
• Direct trust account investments, receive and record investment income and disburse trust funds.

Mortgage brokers

• Meet with clients to obtain information about income, liabilities and assets, and type, price and condition of property to be mortgaged
• Negotiate mortgage loans with lenders or lending institutions on behalf of clients.

• A bachelor's degree in business administration, commerce, economics or a related field is usually required.
• Various training programs and courses are offered by financial institutes and organizations, such as the Canadian Securities Institute, Institute of Canadian Bankers, CFA Institute, Investment Funds Institute and Trust Companies Institute of Canada, and may be required by employers.
• A recognized financial designation may be required (CFA, CIM or others).
• Financial examiners and inspectors may require a recognized accounting designation.
• Mortgage brokers require a mortgage broker licence in British Columbia, Alberta, Saskatchewan, Manitoba, Ontario, Quebec, New Brunswick, Newfoundland and Labrador and Nova Scotia.

• Progression to financial management positions is possible with experience.
• While these kinds of positions require a high degree of training and qualifications, persons who occupy them must continually update their skills and pursue professional development.

• Advertising, marketing and public relations managers (10022)
• Banking, credit and other investment managers (10021)
• Economic development officer (in 41402 Business development officers and market researchers and analysts)
• Economist (in 41401 Economists and economic policy researchers and analysts)
• Financial and investment analysts (11101)
• Insurance, real estate and financial brokerage managers (10020)
• Other business services managers (10029)
• Securities agents, investment dealers and brokers (11103)