Deepak Kumar

Enterprise Independent Testing - Wealth Management (From Mar 2022)

Handling function of Global Compliance and Operational Risk. Responsible for completing testing on over 200 tests, ensuring that all tasks are completed on time, and that reporting is done accurately and on time.

Key Responsibilities-

• Handling issues and queries of the team and line of business.
• Data handling for month end reports (Production/ Utilization/ KPI/ AHT/ Efficiency/ Score card)
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Test of Control- Syndicated and Large Corporate

Was responsible to check and perform Quality check on controls implemented by operations team and resolve any gap found during testing.

Key Responsibilities-

• Perform testing on different transaction types, depending on the frequency.
• Reporting and escalating of any gap identified.
• Clousre of any gap or finding identified durining testing.
• Publishing monthly reports to operations team
• Process improvement ideas needs to be suggested and implemented in process

Syndicated and Large Corporate Loan Servicing.

Worked in subgroups (Part Bought Deals, Agented Deals, Wire Matching, Assignment Desk) within the Syndicated team. I was part of the pilot batch when Agented Deals, Wire Matching, and Assignment Desk. My role changed to Quality Assurance because of good knowledge and quality scores. I was a key member of the Loan IQ deployment in S&LC.

Key Responsibilities-

• Loan IQ deployment in S&LC for Agented deals and Assignment desk
• Approving the transaction when it met the criteria
• Making sure all transactions are released and queues are empty by the day end
• Reconciliation of transactions with in TAT to avoid any loss
• Conducting trainings and provide buddy ups to new associates.
• Conducting team huddles to incorporate the changes in team.
• Conducting PKTs for team and publishing the results.
• Providing data to management for month end reporting.
• · Contributing ideas for improving the process
• Escalate and report all the issues/violations to the team leader/floor supervisor
• · High level of focus on accuracy leading to effective customer service.

Key Responsibilities-

• Processes back office transactions as per the guidelines given in trainings.
• Meet the SLA targets set by the Client.
• Adhere to shift timings and break schedules.
• Maintain proper documentation/notes on the transactions processed.
• Abide by the Quality guidelines set by the client/company.
• High level of focus on accuracy leading to effective customer service.
• Escalate issues as per the guidelines issued to the immediate supervisor.
• Incorporate updates in the day-to-day work on a regular basis.
• Attend training on process knowledge, updates, soft skills, culture sensitization etc. and respond positively to additional coaching as required.
• Attending huddles, team briefings and meetings as required
• Meet and exceed process performance goals.
• Maintain floor decorum/discipline.
• Escalate and report all the issues/violations to the team leader/floor supervisor.
• Contributing ideas for improving the process