Nicholas Caldwell
Charlotte
Summary
Business Accountability Specialist with experience in compliance and transaction monitoring. Offering expertise overseeing potential risk for organizations in the banking industry. An experienced professional with skills in compliance and banking procedures.
Overview
4
4
years of professional experience
Work History
Business Accountability Specialist
Wells Fargo
04.2023 - Current
- Support the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
- Work with Compliance Officers, Supervisory Principals and/or Managers to research and resolve escalated electronic communications
- Assist in further developing the monitoring of electronic communications
- Subsequently entrusted with level two reviewing responsibilities, attesting to a high level of expertise and attention to detail in ensuring quality and compliance.
- Actively collaborated with the enterprise investigations team to effectively address and resolve instances of unauthorized communications within the organization.
- Utilized the enterprise allegations platform to seamlessly file cases from the case management system Actimize, ensuring streamlined and efficient processes for tracking and managing allegations within the organization.
Service Professional
LPL Financial
06.2021 - 04.2023
- Process ACH transactions, wire transfers, and checks in a timely manner, adhering to established deadlines.
- Verify and reconcile payment instructions to ensure accuracy and compliance with regulatory requirements.
- Monitor and resolve discrepancies in payment processing, collaborating with clients and internal teams as necessary.
- Maintain accurate records of all transactions, including supporting documentation for audits and compliance reviews.
- Assist in the development and implementation of procedures to enhance payment processing efficiency.
- Provide exceptional customer service by addressing inquiries related to ACH, wires, and check processing.
- Stay updated on industry trends, regulations, and best practices related to electronic payments and check processing.
Education
Bachelor of Arts - Criminal Justice
University of North Carolina At Charlotte
Charlotte, NC08-2018
Skills
- Information Gathering
- Internal Auditing
- Information Security
- Compliance Monitoring
- Compliance Oversight
- Regulatory Knowledge
- Document Review
Accomplishments
- Promoted to level two roll which includes being the second reviewer for messages that have been flagged for escalation.
Timeline
Business Accountability Specialist
Wells Fargo
04.2023 - Current
Service Professional
LPL Financial
06.2021 - 04.2023
Bachelor of Arts - Criminal Justice
University of North Carolina At Charlotte
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