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Gunjan Preet S Kapoor
Operational Risk & Compliance Expert
Delhi
Summary
Looking for an opportunity to make a difference by bringing my enthusiasm and expertise to the forefront of a leading company’s Compliance and Risk management programs. Knowledgeable Risk Manager equipped with strategic planning and program leadership abilities honed in [Type] industry environments. Establishes strong and successful policies to mitigate risk at each level and establish clear procedures for assessments, prevention and containment. Familiar with regulatory requirements to maintain strict controls.
Overview
9
9
years of professional experience
1
1
year of post-secondary education
Work History
Deputy Manager/Lead – COE
Wipro Technologies
08.2022 - Current
- Working for a leading Asset Management company in Wipro technologies, leading a team of Control and Risk analysts for Compliance Management & Risk Control Testing
- Managed and Conducted Control testing in areas like ESG, Real Estate, Private Equity, Health Sciences, Fund expenses, BCP, Disaster Recovery etc
- Identifying enhancements and remediate action plans to address compliance gaps
- Performing final level review for more than 36 controls across 20+ compliance subprocess
- Formulation of compliance tests for client processes
- Preparing regulatory exams in accordance to 206 (4) Investors Act
- Key Projects
- Transition of a new Governance application called Audit Board to record all Errors, Root Cause, Action plans, and Remediation documentation
- Creation of additional controls to test areas like Privacy, and Anti Bribery.
- Coordinated ongoing efforts to strengthen risk culture and fine-tuned risk appetite for lending and funding activities.
- Produced and filed reports to inform senior management of current activities and progress with investigations.
Sr Risk Analyst/Assistant Manager
American Express
04.2021 - 07.2022
- Collaborated with Strategy, Operations and Compliance Officers of regional/functional groups to identify Key Risk Metrics and document the Controls and Risk areas.
- Tested Controls related to Third Party & New Product Approvals/Launches for EMEA & APAC
- Solely managed Risk Control Self Assessment & Control Testing Program for NPA and published annual report
- Reporting any potential issues proactively to the Senior Management and partner to ensure there is no negative impact on the Audit Results and Control Rating
- Managed both Data Loss Prevention and Access management Program for EMEA & APAC
Business Analyst/Team Lead
American Express
02.2018 - 03.2021
- Introduced a new process to monitor and improve Quality of Risk Events lifecycle for Operational Risk teams managing various Business Units like Fraud, Credit, Collections, New Accounts & System Capabilities
- Monitoring the opportunities in Risk Events & Evidence documentation for a team of 8 Analysts
- Identifying, reviewing, and providing analysis on various business functions/processes across global functions
- Creating and Managing Operational Risk Events and Corrective action plans end to end using project methodologies like Agile & waterfall
- Assisting in the development, documentation, and implementation of timely, relevant, and comprehensive controls
- Performing root cause analysis on identified Control failures to recommend automation improvements to prevent these risk events from re-occurring in future and Implementation of enhanced Controls
- Managed Corrective action plans from end-to-end, starting from Root Cause analysis till the remediation of the Issue
- Acting as Subject matter expert or information source for aiding for new Projects or System plans for the Global functions like Fraud, Collections and Credit
- Key Projects
- Spearheaded the $3 Million Remediation for more than 3000 Accounts to prevent any regulatory risk and any monetary customer harm.
- Improved QA scores Risk related documentation of Issue Management team from 88% to 96% in just two Quarters
Business Analyst Global Collections Outside
American Express
02.2016 - 01.2018
- Worked with more than 30 Outside Vendors across the globe for Collections domain reviewing Projects and Risk Events and Corrective action plans
- Conduct third party audits and Control testing of third-party processes - Statement/disclosure delivery, Third party collections and Customer service
- Develop and improve end to end vendor life-cycle management processes
- Execute global Risk Vendor programs including Vendor Optimization (reduced spend), Third Party Oversight, and Risk Remediation Program
- Managed regular senior level collaborative meetings between vendor and business, ensure there are metrics across all KPIs to ensure performance management
- Developed internal requirements and standards to minimize regulatory risks and liability across programs.
- Communicated with internal departments such as Strategy, Capabilities, internal audit, senior management and to oversee the implementation of Process improvements for Vendor sites
- Key Projects
- Implemented a major privacy control across 30 different Outside agencies to protect Account data by semi masking the critical account info to Protect PII's.
Fraud Analyst
03.2014 - 01.2016
- Analyzed and determined the credit card fraud claims, and approved the due credit to cardholder’s accounts, and actioned the decisions on corresponding merchant chargebacks
- Prepared Case Flows and Process maps to identify Gaps in the process.
Education
IGNOU - International Business Operations
IGNOU
01.2021 - 01.2022
ISO 31000 Enterprise Risk (9hrs Training), Udemy - undefined
Oracle Certified Associate - undefined
Oracle University
New, DelhiBachelor of Commerce - undefined
University of Delhi
New, DelhiSkills
Operational Riskundefined
Interests
Teaching
At the intersection of passion and purpose, I've found a hobby that not only enriches my life but impacts others – teaching. For me, teaching extends beyond formal education. It's about sparking curiosity, fostering a love for learning, and witnessing that 'aha!' moment in someone's eyes.
Timeline
Deputy Manager/Lead – COE
Wipro Technologies
08.2022 - Current
Sr Risk Analyst/Assistant Manager
American Express
04.2021 - 07.2022
IGNOU - International Business Operations
IGNOU
01.2021 - 01.2022
Business Analyst/Team Lead
American Express
02.2018 - 03.2021
Business Analyst Global Collections Outside
American Express
02.2016 - 01.2018
Fraud Analyst
03.2014 - 01.2016
ISO 31000 Enterprise Risk (9hrs Training), Udemy - undefined
Oracle Certified Associate - undefined
Oracle University
Bachelor of Commerce - undefined
University of Delhi
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