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mutual fund broker

Description

Code

3311.2.3

Description

Mutual fund brokers handle and raise cash from shareholders in order to invest them in stocks, bonds and money-market securities. They engage with investors by making inquiries about the client's mutual funds account status and transaction procedures. Mutual fund brokers make use of their expertise in investment theory, market experience, and research to pick the most approapriate investments for their fund portfolio. They ensure that the mutual fund's operations are in compliance with legal requirements.

Alternative Labels

mutual fund sales agent

mutual fund salesman

mutual fund dealer

mutual fund broker

mutual fund manager

mutual fund sales representative

Regulatory Aspect

To see if and how this occupation is regulated in EU Member States, EEA countries or Switzerland please consult the Regulated Professions Database of the Commission. Regulated Professions Database: