Nate Schipper Email & Phone Number

Saint Paul, MN, US

Minneapolis, MN, US

New York, NY, US

I performed different types of compliance reviews looking for advisor violations of company policies and industry regulations. I analyzed data and conducted in-depth research to gather all of the information I needed before presenting my findings to the supervision department for review.

Minneapolis, MN, US

Mutual Fund Operations – Networking and TransfersPosition MatchI researched share balance discrepancies and took action to correct the problems which sometimes required working closely with other departments. I was responsible for the timely reconciliation of daily, weekly, and monthly reports from the risk department. I was also asked to identify and to.

 Used Thompson Reuters – BETA Host to process client and agent paperwork for investment accounts  Examined applications, name or address changes, house holding requests, 407 letters, IPO eligibility forms, trust documents, and bank links for accuracy and completeness Accepted or rejected paperwork based on set requirements Contacted advisors for.

Minneapolis, MN

 Mitigated risk to the company by making certain that new annuity business was suitable  Examined the clients financial picture to ensure the chosen product fit their current needs and future goals Educated registered reps on suitability policies, guidelines, and benchmarks that Allianz implemented Identified and resolved concerns with cases by.