Regulatory Release: Securities Company Investment Advisor Competency Model

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2026-03-20 13:46:39

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(Source: Quan Yan Society)

The China Securities Industry Association Releases the “Key Position Competency Model Series for Securities Firms (Investment Advisor Category)”

Published: March 19, 2026

Recently, the China Securities Industry Association, relying on the Talent Development Professional Committee, conducted a special study on the competency development of investment advisory professionals. Based on research, feedback collection, and revisions, it has developed and published the “Key Position Competency Model Series for Securities Firms (Investment Advisor Category)” (hereinafter referred to as the “Model”) for industry reference.

The “Model” focuses on the characteristics of investment advisory roles amid the transformation of wealth management. It systematically reviews job responsibilities, competency requirements, and development pathways, forming a competency framework covering three levels—junior, middle, and senior—comprising four dimensions: professional skills, general abilities, professional ethics, and compliance requirements, totaling 17 competency items. It also includes a tiered training system covering the entire career cycle of investment advisors, with 33 courses and outlines, providing a reference for securities firms to improve their talent development in investment advisory. The “Model” serves as a guiding, universal template, offering fundamental methodologies and a guiding framework. Each securities firm can adapt and develop it locally based on their strategic positioning, client structure, and resource endowments, and make dynamic adjustments according to different stages of business development.

As the first competency model launched by the association for key securities positions, this achievement offers valuable exploration for the industry in establishing talent competency standards and optimizing training systems. The association will continue to leverage the research mechanisms of the Professional Committee, conducting series of studies on key industry roles and talent, to promote the development of more applicable research results. This will help strengthen the industry’s top-tier financial talent pool and better serve high-quality industry development.

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