NICOLE CAWLEY
Bridgeville,US
Summary
Seasoned compliance professional in the financial services field, adept in enhancing retail banking regulatory excellence and customer experience. Proficient in identifying and developing new servicing opportunities while ensuring adherence to federal and state regulations. Proven delivery of efficient problem-solving and information analysis through perceptive creativity, direct processes, and inclusive collaboration. Precise leadership execution through methodical and organized reporting and communication focusing on compliance and customer support.
Overview
15
15
years of professional experience
Work History
Matching Specialist (Adoption)
TRAC Servicing for Families
08.2021 - 06.2022
- Coordinated placements of foster youth with potential adoptive families
- Maintained files for state compliance audits
- Leveraged enumerable local, state, and private agencies to orchestrate both online and in person introductions and visits to establish family bonding
Compliance Program Specialist
PNC Bank
11.2012 - 06.2021
- Served as the point of contact for Retail Banking Compliance matters specific to Federal and State Regulations
- Helped identify and develop new servicing opportunities with existing clients thereby building and maintaining long-lasting relationships
- Leveraged industry and PNC knowledge to inform colleagues and the line of business regarding products/services, legal compliance, and risk trends
- Involved in negotiating servicing agreements and servicing policies for clients and employees
- Worked with in-house counsel, First Line of Defense Compliance, and Audit partners regarding regulatory risk reporting including Risk Assessments and remediation
- Participated in the analysis, assessment and documentation of Federal and State regulations pertaining to Retail Banking
- Assisted in developing strategies for training staff members in new technologies or processes
- Analyzed, contributed to, and reviewed Risk Control Self Assessments to prepare for examination
Retail Escalation Specialist
PNC Bank
09.2008 - 10.2012
- Demonstrated excellent problem-solving abilities in order to resolve complex customer issues quickly and efficiently
- Collaborated with other departments to ensure timely resolution of escalated cases
- Confident and consistent case management maintaining 30 - 50 cases by monitoring complexities, turnaround time, and client communication
- Employing superior de escalation techniques with clients who were overwhelmed with their unfavorable experiences and malfunctions of their banking products
- Providing a masterful and seamless customer experience to regain clients' trust and restoration in the financial institution
Loan Servicing Specialist
PNC Bank
03.2007 - 08.2008
Education
Master of Science (M.S.) - Financial Crime and Compliance Management
Utica College
Utica, NY05.2017
Bachelor of Science (B.S.) - Criminal Justice
State University of New York At Fredonia
Fredonia, NY05.2007
Skills
- Creative problem solving
- Detailed quality assurance
- Superior customer satisfaction and focus
- Adaptive conflict resolution
- Excellent professional, business, academic report writing
- Diverse communication acumen
- Deliberate investigative and research strategies
- Analytical thinking
Timeline
Matching Specialist (Adoption)
TRAC Servicing for Families
08.2021 - 06.2022
Compliance Program Specialist
PNC Bank
11.2012 - 06.2021
Retail Escalation Specialist
PNC Bank
09.2008 - 10.2012
Loan Servicing Specialist
PNC Bank
03.2007 - 08.2008
Master of Science (M.S.) - Financial Crime and Compliance Management
Utica College
Bachelor of Science (B.S.) - Criminal Justice
State University of New York At Fredonia
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