Travis Callaway
Control Management Specialist
Dallas,NC
Summary
To obtain a position in which 14 years of industry knowledge, education, client and training experiences that can help achieve a company's objective. A dedicated and motivated professional with proven leadership experienced in customer service, regulatory compliance, quality assurance, risk management, project management, and auditing. Proficient in preparing test scripts, leading meetings, and building relationships with business partners.
Overview
14
14
years of professional experience
4
4
years of post-secondary education
Work History
Control Management Specialist
Wells Fargo & Company
Dallas, TX
08.2021 - Current
- Generate reports detailing findings and recommendations.
- Develop and update tracking spreadsheets for process monitoring and reporting.
- Evaluate controls across all risk types consistent with RCSA policy established by Independent Risk Management and Front Line RCSA Procedures.
- Execute evidence-based control evaluations (i.e., control testing) in an effective manner and on schedule.
- Lead, conduct, and document walk-throughs of controls with control owners and business aligned control team members.
- Complete applicable documentation under limited supervision and in accordance with requirements.
- Identify appropriate data, populations, samples, and other documentation needed to support execution of EBCE design and performance evaluation.
- Develop and execute test scripts needed to evaluate control performance aligned with associated risk types.
- Escalate any potential control gaps discovered during completion of control evaluations to evaluation lead.
- Escalate schedule delays to evaluation lead and look for opportunities to remediate schedule issues.
- Build relationships with team members and business/control partners to collaborate effectively in a dynamically changing environment.
- Complete all QC checklist steps within expected SLA.
Enterprise Risk Associate
Wells Fargo
Charlotte, NC
04.2020 - 08.2021
- Execute control testing engagements to assess compliance with significant regulatory requirements and applicable corporate policies.
- Assess design and operational effectiveness of business policies, procedures, initiatives, and internal controls.
- Thoroughly document test work and compliance activity reports.
- Identify issues and responsibility to communicate/consult with various levels of management to ensure corrective actions address root cause and meet corporate sustainability requirements.
- Maintain authoritative knowledge and full understanding of laws and regulations, regulatory guidance, policy and procedure concerning all compliance functions reviewed.
- Testing practices will include: regulatory control testing, operational control testing, and corrective action validations
Quality Analyst
Wells Fargo
Charlotte, NC
12.2017 - 04.2020
- Supported clients with daily operational and compliance functions.
- Responsible for auditing of calls to ensure regulatory/bank standards are met across various lines of business within Wealth and Investment Management.
- Escalate risk issues to address potential client, team member or firm impact.
- Identify issues and responsibility to communicate/consult with various levels of management to recommend standards, policies, and procedures to provide process improvements and mitigate risk.
- Ensure required data is input to appropriate system for tracking, recording, and generating summary reports.
- Find, recognize, and describe risks that could negatively affect the company.
- Organize and lead call calibration meetings with various lines of business when required.
- Identify strengths, opportunities, and recommend standards, policies, and procedures to improve performance.
- Facilitated and delivered quality assurance training sessions for new and existing front line team members.
- Facilitated cross training for new and existing quality analyst
- Evaluate the adequacy and effectiveness to lines of business competencies, policies, and procedures, along with submitting ideas for changes or updates.
Retirement Sponsor Service Analyst
Wells Fargo
Charlotte, NC
07.2015 - 12.2017
- Completion of required annual government compliance reporting for employee benefit plans, working with clients and auditors to ensure accuracy.
- Perform annual compliance testing -410(b), 402(g), Plan Limits, Annual Additions, ADP & ACP, and Top Heavy test- for single employer, Union, controlled group, and multiple-employer plans.
- Correction of test failures by calculating forfeitures, refunds, QNECs, and non-elective contributions.
- Provide reasonable assurance that controls are operating effectively to mitigate risks.
- Tested policy and procedures/control testing.
- Prepare 5500 tax filing forms and working with clients and auditors to ensure accuracy.
- Researched, compiled, and performed complex analysis on critical operational data.
- Processing complex plan administrative transactions for retirement recordkeeping and/or trust clients.
- Supporting the setup of, or changes to new and existing complex retirement plans.
- Processing asset liquidations.
- Interpreting and communicating plan requirements to clients and internal partners.
- Supported clients with daily operational and compliance functions.
Retirement Plan Svc Analyst 2
Wells Fargo
Charlotte, NC
06.2013 - 07.2015
- Responsible for processing moderately complex retirement plan transactions and resolving problems or inquires.
- Evaluated operating processes and controls for potential risks and enhancement opportunities.
- Support and provide exceptional and responsive customer service to both internal and external clients with distribution requests.
- Complete Client Services database requests in a timely, accurate and efficient manner in adherence with established service standards.
- Identifying and developing compensating controls that mitigate audit findings.
- Completed user acceptance testing (UAT).
- Research client and account manager inquiries for various plans.
- Escalate risk items to senior staff members and or management as appropriate.
- Make decisions concerning the accuracy of data and reports following regulations and established procedures.
- Controlled audit for high dollar amount transactions.
- Provide service to the participants of larger clients by responding to client's inquiries in compliance with all Wells Fargo's policies, IRS rules and regulations, and clients standards.
Service Analyst
Citi
Fort Mill, SC
07.2012 - 06.2013
- Organize, record, process and service the production output of various complex mortgage related activities.
- Identify data from mortgage documents and input data into lien release system to prepare releases.
- Perform document audits to ensure accuracy and compliance and entering the info into NLS.
- Prepare legal documents for recording.
- Comprehensive analysis and research to locate required legal documents.
- Identified inefficiencies to finding opportunities to streamline business processes and implement change.
Legal &Estate Sr. Operation Analyst
Merrill Lynch
Jacksonville, FL
04.2011 - 07.2012
- QA of court documents to comply with firm policy.
- Processed moderate to complex service requests from clients.
- Beneficiary Transfer on death/ Abandoned Property updates.
- Processed Power of Attorney docs.
- Processed Legal & Estate distributions and legal docs
- Contribute in departmental audits and ad hoc projects.
- Routine account servicing and resolution to moderately complex operational inquiries and requests.
- Maintained operational and financial controls to ensure risk mitigation to protect the client and the bank.
- Monitored, assessed and analyzed accounts on an ongoing basis for data quality in order to minimize operational and system risk.
Team Lead
FSV Payment System
Jacksonville, FL
09.2008 - 04.2011
- Facilitated new hire training.
- Created training materials and presentations for new hires.
- Scheduled training programs for all new hires.
- Gave constant direction to team members to ensure that all customers inquiries were rightfully attended to on time and in the best way possible to give the client satisfaction.
- Gave detailed statistical feedback on performance of team members to management for staff evaluation.
- Created and implemented work procedures that enhanced the organization and departmental service delivery, operating procedures, and standards.
- Analyzed and troubleshot problems.
- Handled escalated calls received from tier 1 and 2 reps.
Education
Bachelor of Science - Biology
Jacksonville State University
Jacksonville, AL 08.2003 - 05.2007
Skills
- Intermediate Microsoft Office skills
- Trust Gateway
- SEI Trust System
- Ability to review business processes and identify control gaps
- Risk management processes and analysis
- Auditing, Recording
- Ability to monitor
- Data management
- Data analysis
- Performance testing
- Correction action planning
- Due diligence
- Root Cause Analysis
- Project Management
Timeline
Control Management Specialist
Wells Fargo & Company
08.2021 - Current
Enterprise Risk Associate
Wells Fargo
04.2020 - 08.2021
Quality Analyst
Wells Fargo
12.2017 - 04.2020
Retirement Sponsor Service Analyst
Wells Fargo
07.2015 - 12.2017
Retirement Plan Svc Analyst 2
Wells Fargo
06.2013 - 07.2015
Service Analyst
Citi
07.2012 - 06.2013
Legal &Estate Sr. Operation Analyst
Merrill Lynch
04.2011 - 07.2012
Team Lead
FSV Payment System
09.2008 - 04.2011
Bachelor of Science - Biology
Jacksonville State University
08.2003 - 05.2007