ANDREA MCTAGGART
Lincoln
Summary
Accomplished Financial Professional with expertise in supporting financial operations, regulatory compliance, and risk management. Skilled in providing high-level support to financial advisors managing new and existing business, and ensuring organizational compliance. Known for strong attention to detail and the ability to oversee administrative resources while enhancing team efficiency. Dedicated to advancing company values while contributing to growth and excellence.
Overview
15
15
years of professional experience
Work History
Business Process Specialist
Shunkwiler Financial
03.2025 - Current
- Review, verify, and process new account applications, ensuring accuracy, completeness, and compliance with regulatory requirements.
- Input client and account information into financial systems with a high level of accuracy and attention to detail.
- Communicate with financial advisors, clients, and internal departments to resolve discrepancies and obtain missing documentation.
- Ensure all required forms, signatures, and disclosures are properly collected and documented.
- Monitor application workflow and track the progress of new business submissions to meet processing deadlines.
- Provide support in handling client inquiries regarding new accounts, application status, and processing requirements.
- Maintain compliance with FINRA, SEC, and company policies when processing financial transactions.
- Collaborate with operations and compliance teams to improve new business processing procedures and reduce errors.
- Assist with auditing and reporting on new account activity for management and regulatory purposes.
- Deliver excellent customer service by responding promptly and professionally to advisor and client requests.
Realtor and Transaction Coordinator
SimpliCity Real Estate
04.2018 - Current
- Assist clients in purchasing and selling properties.
- Conduct market research to determine optimal listing prices for properties.
- Obtain maximum sales prices with savvy sales and negotiation tactics.
- Manage contracts, negotiations and other aspects of sales to finalize purchases and exceed customer expectations.
- Offer guidance on financing options to prospective home buyers.
- Facilitate smooth closings with orderly paperwork and expert handling of contract issues.
- Prepare all necessary documents, including purchase agreements.
- Maintain excellent relationships with clients through regular communication and updates.
- Assist with closing process by coordinating with inspectors, lenders and escrow companies to obtain documents and clear issues.
- Attend closing meetings to ensure smooth transfer of ownership or occupancy rights.
- Assist other Realtors with obtaining paperwork, scheduling showings, inspections, closed, etc. and finalizing paperwork for compliance.
Associate Financial Representative
Northwestern Mutual
03.2015 - 03.2018
- Evaluated clients' financial situations regularly to ensure plans remained aligned with goals.
- Facilitated transfer of assets between accounts or institutions according to client instructions.
- Assisted clients with opening and maintaining accounts.
- Identified optimal products for each client and presented solutions.
- Used consultative appointments focused on analyzing existing client situations and identified opportunities for improvement.
- Prepared clear and concise reports detailing financial plan progress for client review meetings.
- Responded promptly to client inquiries concerning account balances, transactions, or performance data.
- Developed strong relationships with clients through consistent communication and excellent service.
- Collaborated with underwriters to assess risk and determine appropriate coverage options.
- Assisted brokers in obtaining quotes from different insurers for comparison purposes.
- Reviewed insurance applications to ensure accuracy and completeness.
- Modified and updated current policies and claims to reflect changes in beneficiary, coverage limits, or policy type.
- Liaised between insured customers and agents, updating accounts and collecting necessary information.
- Held Life and Health, Series 6, and Series 63 Licenses.
Executive Assistant
Northwestern Mutual
07.2010 - 03.2015
- Completed duties and tasks as listed above (in 2015-2018 role) as Associate Financial Representative to the Managing Partner, as well as newly hired Financial Representatives.
- Built collaborative working relationships within organization to achieve goals.
- Served as point of contact for team of supervisors, owning complex and escalated issues.
- Handled confidential information with discretion, including sensitive HR matters.
- Trained new employees on company policies, procedures, and software systems.
- Coordinated office events, meetings, and appointments for staff members.
- Served as liaison between management, staff, and external partners or clients.
- Assisted with human resources duties to facilitate recruiting, interviewing and onboarding processes.
- Held Life and Health, Series 6, and Series 63 Licenses.
Education
Bachelor of Arts - History
University of Nebraska
12.2007
Skills
- Due Diligence and Document Review
- Strong Knowledge of Financial Terminology & Procedures
- Regulatory & Compliance Support in Financial Services
- Critical Thinking & Sound Judgment in Decision-Making
- High-Level Written Communication
- Confidential Information Handling & Data Integrity
- Process Improvement & Workflow Optimization
- Microsoft Office Suite (Word, Excel, PowerPoint, Outlook)
- Accuracy, Thoroughness, and Attention to Detail
- Ability to Adapt to Fast-Paced, Dynamic Environments
- Independent Problem-Solving & Self-Motivation
Timeline
Business Process Specialist
Shunkwiler Financial
03.2025 - Current
Realtor and Transaction Coordinator
SimpliCity Real Estate
04.2018 - Current
Associate Financial Representative
Northwestern Mutual
03.2015 - 03.2018
Executive Assistant
Northwestern Mutual
07.2010 - 03.2015
Bachelor of Arts - History
University of Nebraska
Awards
2013 Commitment to Excellence Award Winner Northwestern Mutual Annual Meeting
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