Harini Pendekanti
Senior Compliance Specialist
Hyderabaf
Summary
A vigilant, meticulous, and ardent professional with over 15 years of captivating experience in Compliance Monitoring & Testing, Banking Operations, Business Risk&Controls, Financial Analysis, and Operational Excellence. Seeking to pursue a career in the upper echelons of an esteemed organization, which calls for extremely high levels of leadership qualities, technical abilities and regulatory knowledge to provide valuable insights and recommendations that will help enhance the company's compliance posture, mitigate risks, and strengthen controls to contribute to the organization's success.
Overview
17
17
years of professional experience
4
4
Certifications
Work History
Lead Compliance Officer
Wells Fargo India Solutions
02.2022 - Current
- Participation in Risk Prioritization activities to develop QA plan
Designed multiple templates(excel) for standardization of compliance QA process. Templates: Notification Memo, Sampling Methodology, Review Reports, Change Management templates - Listing out in-scope policy requirements for Compliance process
Performing Capacity planning to assign and complete valuation of review with in timelines for all in scope requirements identified - Identify Process and Element Owners and sending engagement Memo intimating need to work with Compliance Team for evaluation and provide Compliance Quality Assurance Procedure document
- Planning Phase: Deep research of Policy & Process procedure documents and share the Questionnaire with the preliminary questions
- Schedule walk through with Process owners, Element Owners, coordinators & Business aligned compliance team to go through with each individual parameter of the Policy
- Design Assessment Phase: Information collected in Planning Phase and walk through will be evaluated in various parameters to rate requirement as Weak / Needs Improvement / Effective
- Proceeding for performance evaluation phase if design is Effective
Request for population and perform sampling and prepare test script - Perform process performance evaluation using test scripts and basis result rating process as Weak / Needs Improvement / Effective
- Reporting Phase: Reporting results from Script review in structured report and connect with all parties who were part of walk through call and presenting results and seek approval for agreement
- Publishing Phase: Once reporting is approved on agreements same will be published for all stakeholders
- Led in Risk Prioritization activities to develop QA plan
Process Engineer
Wells Fargo Enterprise Business Process Management
06.2018 - 01.2022
- Checking Compliance of Quality Assurance activities in BPM on periodic basis
Created Dashboards to check compliance of activities - Confirming Quality Assurance procedures & checklists meets BPM Policy guidelines
- Ensuring Exceptions are updated and documented in SOR(JIRA) and Approved
Supported The Operational Risk Foundational Program(ORFP) team while performing Audit by demonstrating end to end process - Validation of RCSA Service Modelling & intake activities and Approving them accordingly
- Risk & Control identification of Define Business Process & Quality Assurance process
- Creation & Maintenance of Process documentation & QA Checklists
Responsible for Quality Assurance of Process & RCSA Service Modelling
Identified Risk & Control for EBPM Define Process model & Quality Assurance Process - Developing improvement opportunity on Risk & Control data at RAU level
Maintained Process, Risk, Control information in SHRP & BIKE (Currently transitioned to SHRP) - Conducting Knowledge assessment test & Gauge R&R as part of the Corrective Action Development
- Performed Root cause analysis to increase Quality percentage & conducted Post Factory Assessment to identify the improvement opportunity of the process
Preparation of Training Manuals & conducting trainings as SME(Onsite & Offsite teams) - Collaboration with Onsite & Offsite stakeholder
- Responsible for preparing reports, dashboards and sharing with higher management(Utilization, Weekly, Monthly updates on AHT, TAT,Volumes)
- Maintained Wells Fargo process documentation in iGrafx
- Involved in writing queries, reports, dashboards in JIRA
- Ensure team adherence to all process requirements, data protection, security and HR policies
Senior Financial Analyst
Wells Fargo Retail Underwriting
11.2010 - 05.2018
- Responsible for Quality Assurance & Training
- Creation & Maintenance of Training Manuals & Process documentation
- Participating on regular assessments on risk controls
- Mapping LOB's requirements and coordinating in developing & implementing processes inline with pre-set guidelines
- Interact and coordinate with Business Units with regards to training requirements for their processes
- Monitoring process, identifying improvement areas and implementing adequate measures to maximize customer satisfaction
- Conducting various engagement activities to boost team members morale and motivation
- Establishing high level of Risk and Compliance. Record and report risk items and escalate to appropriate stakeholders and work to mitigate risk
Managed Team Utilization - Exposure on various reports like Shrinkage Management, Consolidated leave
- Tracker, L&D management
- Prepared Dash Board Data and Metrics data
Associate
Bank of America Wholesale Banking Operations
04.2008 - 10.2010
- Been part of Global Treasury and Client services with special focus to Wholesale Banking clients
- Providing wide range of Treasury management services to companies that enables clients to access banks web based channel - BA Direct., Remote
- Deposit Services, Cash Pro, Visa Information management, Global Market
- Working knowledge on SQL system for implementing client online services on Infinity and GFS system that enables client to operate Bank of America Direct
Education
B. Com (Computers) -
Aurora Degree College, Chikadpally, Hyd
MEC - undefined
Nalanda Junior College
SSC - undefined
Sri Aurobindo International School
Skills
Compliance Monitoring & Testing
Certification
RCA Overview
Professional Synopsis
- Performing Quality Assurance review of Compliance Owned processes
- Developing of Test scripts & Sampling methodology for QA review in Compliance
- Confirming Quality Assurance process meeting the BPM Policy guidelines
- Supported The Operational Risk Foundational Program (ORFP) team while performing Audit
- Validation of RCSA Service Modelling activities and Approving them accordingly
- Risk & Control identification of Define Business Process & Quality Assurance process
- Creation & Maintenance of Process documentation & QA Checklists
- Maintain Process, Risk, Control information in SHRP & BIKE
- Performed Root Cause Analysis for Post Factory Assessment framework, Quality Assurance
- Successful completion of RPA project which saves 7FTE effort
- Development & Reporting of Metrics
- Generate reports from JIRA, iGrafx, Tableau,SHRP
- Trained multiple teams on various processes
- Partnership with Onsite & Offsite teams
Tools Worked
- SHRP (Shared Risk Platform)
- BIKE (BPM Integrated Knowledge Engine)
- Tableau
- JIRA
- IGrafx
- Microsoft Office tools(Excel, Word, PowerPoint)
- SharePoint
- Open text
Accomplishments
- Secured numerous highly coveted awards, including the prestigious Wells Fargo Conclave for 2013 and Wells Fargo Championship Awards for Q4-2020, Q2- 2015, Q1, and Q4-2014, along with consistent LOB appreciation for an impressive five consecutive months and Shared Success Awards, AE-I, AE-II, AE-III, and AE-IV, in recognition of outstanding performance.
- Completed Process Automation Project - Automation of Quality Assurance & Enterprise Librarian process and saving of ~113K with 7FTE
- Prepared six idea projects which saved the company around S50,000 in OPUS and $15,000 CV&RD process yearly
- Developed SharePoint for Process Excellence in creation of Query resolution tracker, Update Management tool & conducting Monthly Process Assessment
- Have prepared a macro based automated timesheet which was useful for processing as well as generating various reports which helped entire retail to know the status of work that can be completed by start of the day
- Post Factory Assessment documentation of every process to identify the Improvement opportunity
Personal Information
- Date of Birth: 11/10/87
- Gender: Female
- Nationality: Indian
- Marital Status: Married
Timeline
Lead Compliance Officer
Wells Fargo India Solutions
02.2022 - Current
Process Engineer
Wells Fargo Enterprise Business Process Management
06.2018 - 01.2022
Senior Financial Analyst
Wells Fargo Retail Underwriting
11.2010 - 05.2018
Associate
Bank of America Wholesale Banking Operations
04.2008 - 10.2010
B. Com (Computers) -
Aurora Degree College, Chikadpally, Hyd
MEC - undefined
Nalanda Junior College
SSC - undefined
Sri Aurobindo International School
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