Summary: Operations departments are the first line of defense in the financial services industry — they ensure that client portfolios are properly managed, traded and kept secure day in and day out. Yet when the ops side of the business is doing its job well, clients may not even realize the function exists.
 We have checks and balances in place to ensure that we have applied the requested changes properly and consistently. This complexity and double-checking is often overlooked by the do-it-yourself investor, and can be overwhelming to a financial adviser lacking support from a dedicated ops team."Chad Onufrechuk, Director of operations and compliance, Adviser Investments, |
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