Daniel Heitzman Email & Phone Number

Columbus, Ohio, United States

❖ Review transactions for high and ultra-high net worth clients that have been flagged as potentially fraudulent for fraud concerns❖ Investigate recent changes to client information, IP addresses used to initiate transactions, receiving party information, nature and purpose of transactions, and demographic location, searching for scams, online breaches, and client manipulation❖ Contact clients directly to learn what the transaction is for, how do they know the receiving party, have they received good/service they are purchasing, how they received the payment instructions, and additional probing questions searching for red flags of potential fraud.❖ Educate clients regarding fraud trends, potential fraudulent transactions, and steps to take to verify legitimacy❖ Collaborate with clients, internal partners, and outside agencies to mitigate losses❖ Identify and escalate new fraud trends❖ Proactively identify potential regulatory risks, escalating through proper channels with the ability to recommend solutions to key stakeholders

Columbus, Ohio

❖ Reviewed self-directed investment account applications and verify client documents to ensure clients meet Firm and SEC regulations❖ Communicated directly with clients via the secured messaging system to resolve issues and obtain necessary documentation required for account opening❖ Identified system issues/breaks and worked with technology team to flag applications and implement fixes❖ Was responsible for reviewing 70 or more new brokerage account applications and account maintenance submissions a day for accuracy within the service level agreements set by the front office❖ Reviewed clients investment experience, employment, and holistic financial picture to determine if proposed transactions may be deemed suitable given their stated investment goals❖ Communicated with JP Morgan Financial Advisors regarding suitability and application errors❖ Worked with clients to complete investment account opening and maintenance requests❖ Reviewed Power of Attorney documents to ensure that minimum State and Firm requirements were met prior to adding authorization to brokerage and retirement accounts❖ Completed Identity Verification using Lexis Nexis People Finder Software❖ Trained new team members on new account opening and account maintenance processes❖ Created account maintenance training documents covering updated procedures❖ Ensured compliance with all department and regulatory (AML, SEC, DOL, FINRA, etc.) requirements

Columbus, Ohio Area

❖ Primary team member responsible for Security Transfer requests. The process encompassed the following responsibilities:➢ Determine eligibility and verify documentation for new requests➢ Use Microsoft Excel to calculate and catalog asset percentages➢ Primary contact for front office, supervision, and back office to communicateissues/instruction from submission to completion➢ Use collective feedback to develop/implement action plans to resolve complications and ensure timely completion❖ Manage a daily report of overdrawn accounts over $1,000.00, The process involved:➢ Research and Investigation into the cause of the overdraft➢ Collaboration with financial advisors and money managers to resolve overdrafts as quickly as possible❖ Perform checks weekly to minimize risk and inaction for the closing process, such as overlooked standing payments, duplicate entries, and inactive accounts

Columbus, Ohio

❖ Responsible for completion and submission of all claims for two psychiatrists, two nurse practitioners, and seven social workers❖ Verify and document all payments received from patients and insurance companies❖ Investigate and reconcile denials and errors in claim submission and payment❖ Point of contact for patients regarding all billing and account inquiries❖ Establish and negotiate payment arrangements with limited income patients❖ Mediate between patients and insurance companies to resolve disputes❖ Knowledge of medical coding and credentialing procedures

Columbus, Ohio Metropolitan Area

❖ Led groups of campers and taught archery, fishing, canoeing, conservation, and wilderness survival❖ Interacted with parents and supervised counselors in training

Columbus, Ohio Metropolitan Area

❖ Foster sense of autonomy, initiative, independence, cooperation, self-control, choice and the assumption of responsibility in elementary school children❖ Trained in the recognition of prevention of communicable disease and child abuse

Columbus, Ohio Metropolitan Area

Lifeguard at Indian Village Summer Camp. Responsible for 110 children, 20 teenage counselors in training, and 10-12 adult counselors per week. Responsible for testing and maintaining pool chemical levels and maintenance of the grounds.