Craig Lindo Email & Phone Number

Minneapolis, Mn, Us

Greater Minneapolis-St. Paul Area

Daily Balance Global Security Positions with SEI Trust Accounts, Broadridge and Global Custodians on ex-date for Proxy reporting.Review daily trust accounts to confirm opti-code 144 reporting. Update various systems when changes occur.Have suggested and implemented Record Date, Access Recon, Broadridge, Location 2XY, Chain of custody, Nordic Conversion, RBC, DAS-H and Reject Report macros that enable efficiencies and reduce time spent gathering and printing data for balancing.

Greater Minneapolis-St. Paul Area

Provide solutions for Northwestern Mutual representatives, that meet or exceed their clients' expectations. Process trades, provide case consulting, develop Morningstar Reports customized to help clients reach their long term financial goals.

Complete equipment payoffs, quick pays, banker’s audits, UCC filings, ACH set ups on various business contracts. Work with territory managers, bankers and customers to problem solve contract issues.

St. Paul, Mn

To receive and record cash receipts for timely deposits, to receive warrants for safekeeping, oversees petty cash fund, respond to querries from vendors, students regarding payments, maintain relationships with various state reporting agencies.

Bloomington, Mn

Ad-hoc activities: filed, copied, faxed various client correspondence, sent out bi-monthly annual review letters, mail merged client documents using MS Word, MS Publisher. Managed birthday mailing lists, attached confidential client data to CORE database for advisor use when meeting with clients, input client data into FocusPlan financial planning software, scheduled/prepared client files for advisor appointments including gathering data from Compass and DSTVision

Edina, Mn

Updated client files for review meetings with agents.Printed account values, quarterly statements from various investment company websites. Processed new business, additional purchase payments, prepared application paperwork for agent/client meetings. Followed up on financial service requests, liquidations, add-ons, ACAT transfers, new account applications. Answered incoming client’s calls, schedule appointments, faxed, scanned, filed.

South St. Paul, Mn

Reconciled daily trust transactions to SunGard system for each out of balance corporate action.Analyzed stock splits, reverse stock splits, IPO’s, tender offers, rights, warrants and mergers. Distributed weekly out of balance report to project stake-holders. Created Excel balancing spreadsheets to efficiently balance trust accounts.

Minneapolis, Mn

Investigated consumer initiated complaints by completing various regulatory filings. Resolved cases with settlement recommendations and disciplinary action if needed. Worked with business partners across the company to adjust client transactions if needed. Communicated case filings and resolution with the client, field relation managers, registered principals and compliance supervisors.

Greater Minneapolis-St. Paul Area

Compliance Analyst II- Asset Management Compliance Monitored Securities and Exchange Commission “SEC” website monthly for all EDGAR filings. Produced monthly summary report detailing EDGAR filings for Chief Compliance Officer. Created and revised compliance oversight procedures and review summaries for Investment Administrator, Principal Underwriter functions relating to Mutual Fund and Certificate products in connection with SEC rule 38a-1. Created Lotus Notes repository of all applicable business and compliance policies and procedures for Administrator, Trust, Custodian, Investment Advisor, Principal Underwriter and Transfer Agent functions. Coordinated at least annually with various business partners testing of their business procedures. Assessed completeness and documented any gaps identified in test and followed up with corrective actions.

Managed Assets, Investment Accounting* Performed daily accounting, balancing and valuation for assigned mutual funds.* Validated integrity of data, all balances are accurate and reasonable with minimal supervision.* Completed monthly balancing of bank reconciliations, dividend income, fund expense analysis, accruals and custodian reconciliations.* Ensured accurate NAV, AUV and income distributions are calculated and reported on a daily basis.* Finished futures balancing project with no supervision in compliance with an external audit directive. Wrote detailed procedures and provided department training.* Suggested and implemented several process improvements relating to daily and monthly business requirements.* Utilized industry knowledge of securities, mutual funds and systems to efficiently problem solve.

Minneapolis, Mn

Paid division office bills, reimbursed division office presidents for all eligible business expenses. Reconciled division office budgets monthly with field office administrators. Researched and balanced general ledger accounts monthly.

Minneapolis, Mn

Team coach for new employees. Communicated necessary policies and procedures on Ameriprise products to clients and financial advisors. Strong product knowledge of financial and mutual fund industry.

B.S., Finance, Management, Economics

Activities and Societies: Active member of Finance ClubEducation self financed with no debt upon graduation.

Associates Of Arts, General Educational Requirements

100% self financed with no debt upon graduation.