Daniel Schumann Email & Phone Number

Minneapolis, MN, US

Develop, implement, and maintain a robust risk management framework. This includes reviewing and overseeing the effectiveness of risk management processes to ensure they are aligned with organizational standards and objectives. Responsible for the first-line compliance oversight of the back office operations functions across WMISO, Transfer Agent activity.

Minneapolis, MN, US

Compliance Lead for Wealth Management and Investment Services Operations, and Global Fund Custody. Responsible for the compliance oversight of the back office operations functions across WMISO, Transfer Agent activity, Document Custody, Trade Settlement and Recon, Corp Actions and Tax Reclaims, Reg. Change Management, Regulatory Reporting, Marketing.

Minneapolis, MN, US

Compliance Specialist for Trust Technology and Support Services and Global Fund Custody. Responsible for the compliance oversight of the back office operations functions within TT&SS Trade Settlement and Recon, Corp Actions and Tax Reclaims, Reg. Change Management, Regulatory Reporting, Marketing Material Reviews. Oversight of the ongoing SEI Platform.

St. Louis, MO, US

Travel to complete onsite exams to enforce alignment with the Firm's Policies and Procedures. Recommendations of process improvements for existing audit structure to further streamline procedures. Collaboration with operational groups as needed to help with various projects.

Phoenix, Arizona, US

Weekly domestic travel to perform internal audits to ensure all rules and regulations are being followed. Issue deficiencies and send summary reports to various departments. Scheduling of audits through RegEd, compile pre-exam work, and provide education for new advisor branches.

St Paul, Minnesota, US

Accept phone orders from clients and provide trading and website assistance. Transactions varied from basic market orders to complex qualifiers with dollar amounts up to hundreds of thousands. Assisted on several projects and pilots to improve systems functionality internally as well as customer experience.

Minneapolis, MN, US

Managed clients with mid-sized accounts. Presented complex investment strategies as well as comprehensive estate and wealth building plans.