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Tim Schumacher
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Bio
Credentials
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Registered Representative
The Leaders Group, Inc. Member FINRA/SIPC -
Series 24
FINRA -
Series 7
FINRA -
Six Sigma Black Belt Certification
GE
Experience
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Compliance Advertising Specialist
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Jun 2022 - Present
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TruChoice Financial Group, LLC An Allianz Life Insurance Company of North America company
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Greater Minneapolis-St. Paul Area
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Senior Compliance Analyst - Advertising Review
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Feb 2021 - Jun 2022
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Greater Minneapolis-St. Paul Area
Perform compliance reviews for communication materials (e.g., advertising, marketing, educational materials, etc.) in order to ensure adherence to rules, regulations, laws, and company policiesReview annuity and life insurance applications for suitability. Provide feedback to new business operations and financial professions to ensure applications are complete, accurate and in good order for final processing
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United States
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Financial Services
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700 & Above Employee
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Risk Control Manager - Risk Mitigation (Supervision)
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2014 - 2019
Preserved nearly $500M in assets under management (AUM) leading Vulnerable Client Consulting (VCC) team which helped advisors, field Registered Principals (RPs and leadership to resolve complex problems while keeping compliantExceeded department goal of 98% in suitable sales performing monthly quality assurance supervision reviews for annuity contracts and life insurance policies
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Compliance Manager/Officer - Corporate Compliance
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2008 - 2014
Retained 20% more unclaimed AUM by developing and publishing an enterprise-wide abandoned property policy, framework, governance structure and steering committee with representatives from Compliance, Legal, Risk and OperationsRealized 15% more compliance for outside business activities (OBA) fixing a flaw in the tracking database mitigating risks to registered representatives and the firm
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Senior Business Analyst - Corporate Finance
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2006 - 2008
Served as subject matter expert for abandoned property regulatory exams with 30 state securities regulators involving qualified client accounts
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Gelco Information Network
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Greater Minneapolis-St. Paul Area
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Senior Accountant / Senior Financial Analyst
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Oct 2005 - Aug 2006
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Greater Minneapolis-St. Paul Area
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Best Buy
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Minneapolis, Minnesota, United States
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Senior Accountant
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2005 - 2005
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Minneapolis, Minnesota, United States
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GE
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Minneapolis, Minnesota, United States
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Collections / Portfolio Manager
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1999 - 2004
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Minneapolis, Minnesota, United States
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HealthFitness
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Minneapolis, Minnesota, United States
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Senior Accountant
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1998 - 1999
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Minneapolis, Minnesota, United States
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Norstan Communications Inc
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Minneapolis, Minnesota, United States
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Accounts Receivable Clerk
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1995 - 1998
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Minneapolis, Minnesota, United States
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Education
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University of St. Thomas
Master of Business Administration - MBA, Finance -
University of St. Thomas
Bachelor of Arts - BA, Business Administration and Management
Suggested Services
This profile is unclaimed. These are suggested service rates with 0% commision upon successful connection
Industry Focus. “Financial Services”
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