Summary
Overview
Work History
Education
Skills
I enjoy
Timeline
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Lokesh Kumar Gupta

Sr. Manager - Line Compliance
Faridabad

Summary

Experienced professional with 18+ years in the service industry, specializing in compliance, risk, and client management. I’ve led key initiatives in business assurance, contractual compliance, audits, GRC, and data privacy. Comfortable working with global teams across the US, Philippines, and South Africa. I enjoy building strong relationships, simplifying complex processes, and driving meaningful results. Known for being detail-oriented, dependable, and a collaborative team manager.

Overview

19
19
years of professional experience

Work History

Sr. Manager - Line Compliance

EXL Service. Co (I) Pvt. Ltd.
07.2024 - Current
  • To manage Line Compliance team for assigned business units
  • Ensure adherence of the laws, contractual terms, policies, rules and procedures in assigned client areas
  • Leading reviews of processes and controls across insurance operations to check if they follow internal policies and external regulations, helping reduce risk and improve compliance.
  • Creating and running tests to see how well key controls are designed and working in day-to-day operations, and suggest improvements where needed.
  • Working closely with legal, compliance, and audit teams to help ensure the business meets all relevant laws and regulatory requirements.
  • Preparing clear reports on compliance findings and share them with senior management to support better decisions and stronger risk controls.
  • Provide support and coordination during External and Internal audits
  • Conduct periodic audits & carries out compliance activities
  • Provide support and guidance to operations during audits
  • Monitor and as necessary, coordinate compliance activities of other departments
  • Acts as an independent review and evaluation body to ensure that compliance Issues/concerns within client area are being appropriately evaluated, investigated and resolved
  • Identify potential areas of compliance vulnerability and risk
  • Develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future
  • Provides reports on a regular basis, and as directed or requested, to keep senior management informed of the operation and progress of compliance efforts.
  • Job Profile

Manager - Line Compliance

EXL Service. Co (I) Pvt. Ltd.
07.2020 - 06.2024
  • Managing, Coaching and Mentoring Line Compliance team Resources
  • Ensure adherence of the laws, contractual terms, policies, rules and procedures in assigned business unit’s client areas operating in multiple geographies.
  • Reporting periodic Compliance Status to business leadership.
  • Responding various client security questionnaires and RFP questionnaires
  • To represent business in various Risk Assessments activities
  • To perform and manage Compliance Self-Assessment in Industry standard Compliance tools
  • Conduct periodic audits & carries out compliance activities
  • Provide support and guidance to operations during Client audits, Internal Audits, ISO Audits etc.
  • Monitor and as necessary, coordinate compliance activities of other departments
  • Acts as an independent review and evaluation body to ensure that compliance Issues/concerns within client area are being appropriately evaluated, investigated and resolved.
  • Identify potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
  • Provides reports on a regular basis, and as directed or requested, to keep senior management informed of the operation and progress of compliance efforts.
  • Job Profile

Lead Assistant Manager - Line Compliance

EXL Service. Co (I) Pvt. Ltd.
01.2019 - 06.2021
  • Coaching and Mentoring Line Compliance team Resources
  • Ensure adherence of the laws, contractual terms, policies, rules and procedures in assigned client areas
  • Responding various client security questionnaires and RFP questionnaires
  • To perform and manage Compliance Self Assessment in Industry standard Compliance tools
  • Conduct periodic audits & carries out compliance activities
  • Provide support and guidance to operations during Client audits, Internal Audits, ISO Audits etc.
  • Monitor and as necessary, coordinate compliance activities of other departments
  • Acts as an independent review and evaluation body to ensure that compliance Issues/concerns within client area are being appropriately evaluated, investigated and resolved.
  • Identify potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
  • Provides reports on a regular basis, and as directed or requested, to keep senior management informed of the operation and progress of compliance efforts.
  • Job Profile

Assistant Manager - Line Compliance

EXL Service. Co (I) Pvt. Ltd.
10.2018 - 12.2018
  • Ensure adherence of the laws, contractual terms, policies, rules and procedures in assigned client areas
  • Responding various client security questionnaires and RFP questionnaires
  • To perform and manage Compliance Self Assessment in Industry standard Compliance tools
  • Conduct periodic audits & carries out compliance activities
  • Provide support and guidance to operations during Client audits, Internal Audits, ISO Audits etc.
  • Monitor and as necessary, coordinate compliance activities of other departments
  • Acts as an independent review and evaluation body to ensure that compliance Issues/concerns within client area are being appropriately evaluated, investigated and resolved.
  • Identify potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
  • Provides reports on a regular basis, and as directed or requested, to keep senior management informed of the operation and progress of compliance efforts.
  • Job Profile

Assistant Manager (Operations) (various US Insurance process)

EXL Service. Co (I) Pvt. Ltd.
09.2012 - 09.2016
  • To ensure consistent delivery on Business metrics and other responsibilities/deliverables
  • To provide regular feedback, coaching & support to direct reports, help them develop their skills.
  • Monitoring transactions on ongoing basis and to take corrective steps where necessary or making incremental improvements.
  • To assist new hires and helping them in process trainings.
  • Analyzing escalations and proactively identify control measures.
  • To communicate effectively with the team and other stakeholders, ensure team members are kept fully informed through a process of two way communication.
  • Build strong productive and highly motivated team
  • Ensure Associate engagement and team satisfaction
  • Conducting appraisals for all the direct reports effectively.
  • Ensuring compliance with internal policies and procedures, external regulations and information security guidelines.
  • To create improvements in business processes by contributing ideas, implementing agreed changes, driving improvement projects, best practices and strong risk culture.
  • To provide data and participate in ongoing projects (Lean and Six Sigma projects)
  • To drive customer centricity
  • Job Profile

Quality Compliance Analyst for Financial process (US Life Insurance process)

EXL Service. Co (I) Pvt. Ltd.
08.2012 - 08.2012
  • Monitoring and auditing the transactions processed by associates (QA and QI stages)
  • Analysis of data to find out the root causes of problems and find out the areas of improvement.
  • Creation and implementation of action plans.
  • Providing feedback to associates.
  • Participating in assessment meeting calls with client
  • Communicating with client for procedural updates and queries
  • Downloading the updates to team and ensure their implementation of the same
  • Query handling and mentoring
  • Job Profile

Insurance Associate in Financial process (US Life Insurance process)

EXL Service. Co (I) Pvt. Ltd.
01.2007 - 05.2010
  • Review and analyze paperwork submitted by the clients, including legal paperwork like Power of Attorney submitted along with request for authority to act.
  • Execute requests like surrenders, loans, and fund withdrawals in insurance policies to name a few.
  • Review all the recent client interactions and the account status before making any Disbursement.
  • Also handle the responsibility of tech spoc role for the entire operation floor for problems in client environment system.
  • Job Profile

Education

L.L.B -

C.C.S University

MBA - Total Quality Management

Sikkim Manipal University

Skills

  • Analytical bent of mind
  • Solution Oriented Mindset
  • Logical thinking
  • Objective approach

I enjoy

Reading, Playing Chess, Binge watching, Learning new skills

Timeline

Sr. Manager - Line Compliance

EXL Service. Co (I) Pvt. Ltd.
07.2024 - Current

Manager - Line Compliance

EXL Service. Co (I) Pvt. Ltd.
07.2020 - 06.2024

Lead Assistant Manager - Line Compliance

EXL Service. Co (I) Pvt. Ltd.
01.2019 - 06.2021

Assistant Manager - Line Compliance

EXL Service. Co (I) Pvt. Ltd.
10.2018 - 12.2018

Assistant Manager (Operations) (various US Insurance process)

EXL Service. Co (I) Pvt. Ltd.
09.2012 - 09.2016

Quality Compliance Analyst for Financial process (US Life Insurance process)

EXL Service. Co (I) Pvt. Ltd.
08.2012 - 08.2012

Insurance Associate in Financial process (US Life Insurance process)

EXL Service. Co (I) Pvt. Ltd.
01.2007 - 05.2010

MBA - Total Quality Management

Sikkim Manipal University

L.L.B -

C.C.S University

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Lokesh Kumar GuptaSr. Manager - Line Compliance