Kiran Gupta
Escalation and Compliance Specialist-Level 2
Surat
Summary
Experienced Senior Associate with 6+ years experience driven to optimize processes and streamline operations for team efficiency. Decisive leader with an analytical and flexible approach to solving problems.
Overview
9
9
years of professional experience
6
6
years of post-secondary education
2
2
Certifications
Work History
Senior Associate- Compliance
Owneso Legal Consulting
03.2024 - Current
- Monitoring compliance with laws, regulations, and internal policies, and ensuring that products, activities, documentation, and policies comply with regulations.
- Design compliance management models and document compliance requirements related to control flow, privacy, trust, monitoring, and licensing.
- Auditing monthly report between custodian and Bank for the futures, bitcoins to ascertain Return on Capital.
- Maintain a library of regulatory records that include healthcare compliance policies and procedures and participate in virtual committee meetings.
- Auditing monthly report between custodian and Bank for the futures, bitcoins to ascertain ROC
Compliance Specialist (QA)
Goldman Sachs
10.2022 - 05.2023
- Conducting Quality and Compliance Audits of High Risk process scripts to identify the areas of improvement in US Banking-Lending
- Analyze data to identify trends and providing remediation's/recommendations for process improvements
- Work closely with Operations to identify root cause and implement corrective actions in coaching agents
- Presenting monthly decks to the business owners and help in reducing the overall error trends in process
Process Developer and Trainer
Genpact India Pvt Ltd
01.2021 - 09.2022
- Responding to Associates and Team Leaders for managing complaints and escalations from Domestic and International clients and customers for Banking products
- Responsible for end to end escalation management across all products
- Worked as a Trainer and Quality Auditor(QA) and conducted coaching sessions and calibration with associates, Team Leaders and provide feedback addressing service performance, product knowledge and call quality
- Participated in all team meetings with clients for new updates, identifying solutions, problem fixes and reporting and improvise on automation.
- Provide feedback addressing client service performance, product knowledge and importance of Service Level Agreement(SLA)
- Prioritized secure handling of sensitive customer information within processes, minimizing potential liability issues by proactively managing risk.
Process Associate and QA
Genpact India Pvt Ltd
09.2018 - 04.2020
- Investigate root causes of customer issues and work with team members to agree upon corrective action
- Worked as a Subject Matter Expert (SME) and helped associates with process and overcome day-to-day challenges in handling call and share feedbacks
- Winning the Genpact Bronze Award 10/2018 and Genpact Silver Award in 06/2019 and 12/2021
Senior Branch Officer
ICICI Bank
03.2016 - 04.2017
- Supporting the Bank's strong relationship banking culture through ongoing customer contact, quality customer service, and superior product knowledge
- Maintaining the existing client relationships and identify new business opportunities
- Helped customers open and close checking accounts, credit cards, savings accounts, personal loans, and mortgages and conducted each client transaction efficiently, accurately, and effectively
- Actively participated and won the ICICI Best Value Banker Award in 02/2017
Education
Post Graduation Diploma in Banking Operations - Banking Operations
IFBI- NIIT University
05.2015 - 05.2016
Bachelors in Business Administration - Marketing
Calcutta University
06.2012 - 07.2015
Higher Secondary and Secondary Education -
Mahadevi Birla Shishu Vihar
04.2010 - 04.2012
Skills
- Performance monitoring
- Training and mentoring
- Complaint management
- Customer service
- Client engagement
- Process improvement
- Customer relationship management (CRM)
- Performance evaluations
- Complex Problem-solving
Certification
NISM VA
Timeline
Senior Associate- Compliance
Owneso Legal Consulting
03.2024 - Current
Compliance Specialist (QA)
Goldman Sachs
10.2022 - 05.2023
Process Developer and Trainer
Genpact India Pvt Ltd
01.2021 - 09.2022
Process Associate and QA
Genpact India Pvt Ltd
09.2018 - 04.2020
Senior Branch Officer
ICICI Bank
03.2016 - 04.2017
Post Graduation Diploma in Banking Operations - Banking Operations
IFBI- NIIT University
05.2015 - 05.2016
Bachelors in Business Administration - Marketing
Calcutta University
06.2012 - 07.2015
Higher Secondary and Secondary Education -
Mahadevi Birla Shishu Vihar
04.2010 - 04.2012
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