Kavinder Vohra

• Drove system improvement efforts from concept to completion while strategically managing the stakeholders.
• Developed and implemented internal control tests to verify employee compliance with established policies and procedures.
• Prepared training programs to improve compliance at all levels.
• Gathered, organized and evaluated data to make accurate assessments of policies and procedures.
• Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.
• Monitored compliance with processes, policies, procedures and standards in regards to quarterly Quality Assurance process.
• Provided guidance, advice and training to improve business' understanding of related laws and regulatory requirements.
• Scheduled and conducted evaluations of company policies, procedures and internal control structures.
• Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
• Managed quality programs to reduce overdue compliance activities and track error remediation on timely manner.
• Created and optimized records management strategies to coordinate and protect information.
• Prepared monthly ad hoc reporting in alignment with senior management needs.

Monitoring and Testing (Risk and Compliance)

• Governance and Oversight of Monitoring and Testing programs.
• Coordinated 'Records Retention' activity of all the electronic data for Compliance teams.
• Maintenance of Testing Guidance documents in partnership with Compliance Risk Programs (CRP) leads.
• Responsible for testing (UAT) of any key enhancement for the team and provide results to senior management. Also involved in creating test scripts for stakeholders and governance on timely completion and approvals.
• Governance of change management around key areas like L3 Risk, Legal Obligations, legal Entities, LOB hierarchy and working papers based on CCO approvals.

• Managed Tier 1 clients by understanding specific requirements and delivering flawless service.
• Monitored the payments team and provided summary to senior management on daily basis.
• Key candidate for Audit preparedness.
• Ensured zero client confidentiality breaches .
• Ensured a team work culture is practiced by motivating individuals to their best abilities.
• Prepared monthly KPI report for senior management review.
• Successfully Migrated CLS (Continuous Link Settlement) process from Birmingham.