Monitor and enforce compliance with relevant regulations, policies, and procedures governing mutual fund operations, maintaining audit readiness at all times. Drive continuous improvement initiatives to enhance efficiency and effectiveness in control testing processes, leveraging technology and automation where applicable. Collaborate closely with business to facilitate seamless execution of control testing activities. Prepare detailed reports and analysis on control testing results and findings, providing insights to senior management and contributing to decision-making processes.

Risk Assessments, Fraud detection, Conduct of Governance Sessions and fulfillment of FIS policy for assigned businesses. Preparation of consolidated reports on Integrated Management System (IMS) for the employees of India & the Philippines. Accountability of ID control, GPO, for new & existing employees. Ensuring regular updates of Access Reconciliation Matrix as per Client Policies. Internal audit for two different businesses & compliance adherence as per PCI-DSS, GDPR, FCA regulations. Audit of Telecom Giants as Super Quality Checker (SQC), for UK businesses. Monitored system performance to identify weaknesses, bottlenecks and inefficiencies. Analysed business current work practices to recommend improvement action. Assessed linkages between system components and implemented improvements to optimise connectivity, compatibility and functionality. Managing project activities and resources and identified and addressed operational and technological risks to meet time constraints.

Worked on clients’ accounts using Salesforce and Citrix. Analysis of account to find discrepancies, fraud, disputes and other account features and services along with product development. Report preparation for updates on banking policies as per the client's requirement on a regular basis to improve quality. Assured the resolutions as per Payment Card Industry- Data Security Standards and checking for routed complaint via FRB (Federal Reserve Board). Ensured priority response on client emails to meet SLA and to avoid TAT for assigned cases. Assigning cases to colleagues in the absence of Processing Supervisor. Assisted new joiners and existing colleagues for smooth onboarding into the process. Event & Activities planned for 28 members in the team under the guidance of Team Leader & Manager.