Nicholas Caldwell
Charlotte,NC
Summary
Business-minded Compliance Specialist with experience in training peers. Offering over 1 year of expertise overseeing potential risk for organizations in the banking industry. An energetic professional with skills in compliance and banking procedures.
Overview
3
3
years of professional experience
Work History
Compliance Specialist
Wells Fargo
Charlotte, NC
04.2023 - Current
- Support the oversight or monitoring of a risk-based compliance program
- Provide compliance risk insight and support projects and initiatives with low to moderate risk for a business line or functional area
- Support the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
- Review electronic communications which have alerted or via targeted reviews
- 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
- Level two for overseeing unapproved communication platform messages.
- Coordinated with various departments within the organization to ensure adherence to established standards.
Service Professional
LPL Financial
Fort Mill, SC
06.2021 - 04.2023
- Work with end clients and internal partners through (inbound and outbound) phone calls, emails, faxes, and mailings.
- Complete, upload, and process client documents
- Own client and partner inquiries to see them through to a timely resolution
- Route inquiries through LPL channels to ensure proper processing and escalation of inquiries
- Collaborate with fellow consultants and internal partners to assist in resolving unusual cases
- Identify trends and suggest operational improvements to management
- Actively participate in customer service, operational, and technology training
- Refer clients that are seeking financial guidance to an LPL Advisor
- Work with Financial advisors to resolve any issues with client accounts. (Money not leaving accounts, issues with money not coming into accounts, adding ACH and banking information etc.)
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
Compliance 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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