entitlements and rectify exceptions Ensure that holdings (cash and stock) and STRATE balance for assigned events
investments in Financial Personality Assessments, Cash Flow Modelling/Financial Needs Analysis, Investor
investments in Financial Personality Assessments, Cash Flow Modelling/Financial Needs Analysis, Investor
client and site with respect to operational issues. Cash out etc. Act as single point of contact to resolve
client and site with respect to operational issues. Cash out etc. Act as single point of contact to resolve
regulator. · Submit required reports to regulator (e.g., cash threshold, terrorist property, suspicious transaction)
regulator. · Submit required reports to regulator (e.g., cash threshold, terrorist property, suspicious transaction)