# Tasks & work activities — mutual fund broker

Source: O*NET 30.3, occupation 11-3031.03 (Investment Fund Managers).

## Task statements

- **[Core]** Prepare for and respond to regulatory inquiries.
- **[Core]** Hire or evaluate staff.
- **[Core]** Develop, implement, or monitor security valuation policies.
- **[Core]** Attend investment briefings or consult financial media to stay abreast of relevant investment markets.
- **[Core]** Perform or evaluate research, such as detailed company or industry analyses, to inform financial forecasting, decision making, or valuation.
- **[Core]** Present investment information, such as product risks, fees, or fund performance statistics.
- **[Core]** Monitor financial or operational performance of individual investments to ensure portfolios meet risk goals.
- **[Core]** Monitor regulatory or tax law changes to ensure fund compliance or to capitalize on development opportunities.
- **[Core]** Meet with investors to determine investment goals or to discuss investment strategies.
- **[Core]** Develop or direct development of offering documents or marketing materials.
- **[Core]** Evaluate the potential of new product developments or market opportunities, according to factors such as business plans, technologies, or market potential.
- **[Core]** Develop or implement fund investment policies or strategies.
- **[Core]** Select or direct the execution of trades.
- **[Core]** Manage investment funds to maximize return on client investments.
- **[Core]** Select specific investments or investment mixes for purchase by an investment fund.
- **[Supplemental]** Verify regulatory compliance of transaction reporting.
- **[Supplemental]** Direct activities of accounting or operations departments.
- **[Supplemental]** Review offering documents or marketing materials to ensure regulatory compliance.
- **[Supplemental]** Identify group or individual target investors for a specific fund.
- **[Supplemental]** Analyze acquisitions to ensure conformance with strategic goals or regulatory requirements.

## Detailed work activities

- Advise others on business or operational matters.
- Analyze forecasting data to improve business decisions.
- Approve expenditures.
- Communicate organizational information to customers or other stakeholders.
- Coordinate with external parties to exchange information.
- Determine operational compliance with regulations or standards.
- Develop organizational policies or programs.
- Develop promotional materials.
- Direct financial operations.
- Direct organizational operations, projects, or services.
- Direct sales, marketing, or customer service activities.
- Evaluate employee performance.
- Evaluate potential of products, technologies, or resources.
- Examine financial records to ensure compliance with policies or regulations.
- Examine marketing materials to ensure compliance with policies or regulations.
- Hire personnel.
- Identify potential customers.
- Implement organizational process or policy changes.
- Maintain knowledge of current developments in area of expertise.
- Monitor external affairs or events affecting business operations.
- Monitor financial activities.
- Monitor financial indicators.
- Monitor organizational procedures to ensure proper functioning.