Neelam Gupta
Auditor
Pune,MH
Summary
Detail-oriented Compliance Executive with hands-on experience in compliance monitoring, internal audits, and regulatory adherence within banking and operations environments. Proven expertise in supporting audits, tracking compliance gaps, performing quality checks on reports, and coordinating with internal teams and clients for timely closure of observations. Strong background in operations, documentation, MIS reporting, and process improvement, supported by Lean Six Sigma Black Belt certification.
Overview
8
8
years of professional experience
1
1
Certification
Work History
Compliance Executive
QDegrees Services
01.2024 - Current
- Ensuring day-to-day compliance with regulatory, internal, and client-defined guidelines across banking operations and branch activities.
- Supporting internal and client audits by preparing data, evidences, and documentation as per audit requirements.
- Tracking audit observations, non-compliances, and corrective action plans (CAPs) to ensure timely closure.
- Performing quality checks (QC) on audit reports and compliance documentation to ensure accuracy and completeness.
- Coordinating with internal teams to obtain clarifications, documents, and action updates required for management and client reporting.
- Preparing detailed compliance and audit reports, highlighting gaps, risks, and improvement opportunities.
- Monitoring adherence to SOPs, data confidentiality norms, and operational controls.
- Acting as a point of contact for client and auditor queries, resolving compliance-related issues efficiently.
- Maintaining compliance MIS, trackers, and dashboards for periodic reporting.
Assistant Manager | Operations
Novomed
06.2023 - 12.2023
- Operations Oversight:
- Assist in overseeing day-to-day operations within the Mumbai branch, ensuring efficiency and quality of services.
- Collaborate with the Operations Manager to implement operational strategies and achieve departmental goals.
- Process Improvement:
- Apply Lean Six Sigma methodologies to identify and address process inefficiencies, optimizing workflow and resource utilization.
- Initiate and lead process improvement initiatives to enhance the operational performance of the Mumbai branch.
- Data Management:
- Manage and maintain data related to operations, ensuring accuracy, accessibility, and security.
- Utilize data analysis to drive decision-making and monitor key performance indicators.
- Report Generation:
- Generate and analyze detailed reports to provide insights into operational performance and areas for improvement.
- Present findings to support strategic decision-making and enhance overall efficiency.
- Project Management:
- Assist in the planning, execution, and management of projects to ensure they are completed on time and within budget.
- Coordinate project teams and resources to achieve project objectives.
- Team Collaboration:
- Foster a culture of collaboration and teamwork within the Mumbai branch, working closely with cross-functional teams to achieve operational excellence.
- Provide leadership and support to team members, promoting a positive work environment.
- Problem Solving:
- Proactively identify and address operational challenges, finding innovative solutions to maintain a smooth workflow.
- Implement corrective actions and preventive measures as needed.
- Quality Assurance:
- Monitor and maintain high-quality service standards in line with Novomed's commitment to excellence.
- Develop and implement quality control measures to ensure patient satisfaction.
- Compliance and Regulatory Adherence:
- Ensure compliance with all relevant regulations and standards in the healthcare and operations industry.
- Stay updated on regulatory changes and implement necessary adjustments.
- Customer Relationship Management:
- Build and maintain positive relationships with clients, addressing their needs and concerns promptly and professionally.
- Act as a point of contact for client inquiries and feedback.
- Documentation and Record-Keeping:
- Maintain accurate records and documentation related to operations, projects, and regulatory requirements.
Manager | Business Development
Hike Education
07.2022 - 12.2022
- Develop Business Strategies: Create and implement comprehensive business development strategies to drive growth and achieve revenue targets.
- Client Acquisition: Identify and establish relationships with potential clients, pitch services, and negotiate agreements to onboard new clients.
- Existing Client Management: Nurture relationships with existing clients, ensuring their satisfaction and identifying opportunities for upselling or cross-selling.
- Sales Target Achievement: Set and meet or exceed sales and revenue targets through effective sales and marketing efforts.
- Team Leadership: Lead and motivate a team of business development professionals, providing guidance, support, and coaching to enhance their performance.
- Collaboration: Collaborate with cross-functional teams, including marketing, operations, and customer support, to ensure a seamless client experience.
- Client Relationship Management: Maintain strong, long-term relationships with clients by understanding their needs and delivering exceptional customer service.
- Revenue Forecasting: Develop and manage revenue forecasts, monitor sales pipelines, and report progress to the senior management team.
- Market Analysis: Stay updated on industry trends, competitors, and regulatory changes, and adjust strategies accordingly.
- Sales Reporting: Prepare and present regular reports on sales performance, market trends, and business development activities to company leadership.
- Compliance: Ensure compliance with all relevant laws, regulations, and company policies.
- Networking: Attend industry events, conferences, and trade shows to build a professional network and identify potential business opportunities.
Senior Operations Executive | Process
B K Saress
09.2018 - 06.2022
Operations Executive
Hips & Shoulders
08.2017 - 05.2018
Education
M.Com. -
Mumbai University
01.2019
B.M.S. - undefined
Mumbai University
01.2016
Skills
- Compliance Monitoring & Regulatory Adherence
- Internal & External Audit Support
- Audit Observation Tracking & Closure
- SOP & Policy Compliance
- Quality Control (QC) & Review
- Risk & Control Assessment
- MIS, Dashboards & Reporting
- Documentation & Record Management
- Client & Stakeholder Coordination
- Data Confidentiality & Governance
- Process Improvement (Lean Six Sigma)
Certification
Certified Lean Six Sigma Black Belt (ICBB) from KPMG India
Timeline
Compliance Executive
QDegrees Services
01.2024 - Current
Assistant Manager | Operations
Novomed
06.2023 - 12.2023
Manager | Business Development
Hike Education
07.2022 - 12.2022
Senior Operations Executive | Process
B K Saress
09.2018 - 06.2022
Operations Executive
Hips & Shoulders
08.2017 - 05.2018
B.M.S. - undefined
Mumbai University
M.Com. -
Mumbai University