Uday Kapoor

Risk & Compliance :

• Produced and filed reports to inform senior management of current activities and progress with investigations.
• Liaised with risk management, internal audit and employee services departments to direct compliance issues to appropriate channels for investigation and resolution.
• Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
• Presented reports outlining findings and recommendations from compliance audits.
• Implemented improvement initiatives and monitor and identify gaps in new and existing practices.
• Enhanced accountability and responsibility for compliance by allocating tasks such as assessments, mitigation, monitoring and auditing.
• Reviewed company policies, procedures and internal control structures.
• Monitored data from internal and external systems, identifying and reporting potential risks.
• Gathered, organized and evaluated data to make accurate assessments of current operations.
• Assessing banking operations to identify Operational risks and implementation of controls
• Provide Operational Risk Services (Control Self-Assessment, Key Risk Indicators, reporting and Incident Management) services to the client

Worked with North American Bank as Subject Matter Expertise :

• Actively listened to customers, handled concerns quickly and escalated major issues to supervisor.
• Ensure timely processing of all requests and credits according to customer terms.
• Posting Entries to customer’s AC via debiting the GL’s and Merchant Accounts
• Quickly learned new skills and applied them to daily tasks, improving efficiency and productivity.
• Managed team of 10 employees, overseeing training and professional growth of employees.
• Ensuring proper control checks are introduced through Quality checks, so that errors are minimized/ eliminated
• Ensuring team members are constantly meeting Productivity, Quality and Turn around Time targets
• Manage Escalations, identify root cause and come up process improvement and put controls in place
• Ability to utilizing team member to the maximum by focusing on their strength and help on their areas of Improvement
• Delivering excellent customer service without compromising business needs.
• Manage key business metrics like SLA's and CSAT
• Proactively informing clients to update SOP’s when needed
• Organize update sessions, team meetings & huddles
• Responsible for creating monthly Dashboards and monthly Incentives report

Banking :–Commercial Loan Services

• Commercial loan services worked on a customer request for the loan which is approved by US Bank
• Providing Automated Clearing house facility, payment stopped and transaction processing which involves services to customer for interest & principal payments
• Met month-end reporting objectives and deadlines.
• Processed payments promptly and sent to appropriate entities to avoid delays.
• Identified and resolved process issues to encourage smoother procedures, more efficient workflow and overall business growth.
• Partnered with cross-functional teams to conduct thorough discovery and due diligence on existing processes.
• Identified modifications to processes and procedures that would promote better efficiency.
• Supervised team of associates, answered questions and resolved issues efficiently.
• Performed quality assurance checks on transactions and account actions to assess compliance with state and federal regulations.
• Determined and recommended methods to address improvement opportunities.
• Developed standard operating procedures and document workflows for current and future process steps.
• Collaborated with team to define business requirements for organizational processes, achieve productivity standards and adhere to accuracy standards.
• Developed and executed plans to monitor standard process adherence.
• Maintained excellent attendance record, consistently arriving to work on time.
• Worked with customers to understand needs and provide excellent service.

Insurance Bussiness :

• Analysis, checking policies and its Endorsements for different Clients e.g. ACE, AIG, CHUBB, XL insurance & etc
• Identified and resolved process issues to encourage smoother procedures, more efficient workflow and overall business growth.
• Partnered with onshore team to conduct due diligence on existing processes.
• Determined and recommended methods to address improvement opportunities.
• Responsible for audits to ensure 100% SOP adherence & Quality checks
• Boosted customer experiences by delivering superior customer service, issue resolution
• Enhanced production to exceed goals