Summary
Overview
Work History
Education
Skills
Certification
Timeline
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Neha Bakshi

Neha Bakshi

Regulatory Compliance Operations Associate
Kolkata

Summary

Detail-oriented team player with strong organizational skills. Ability to handle multiple projects simultaneously with a high degree of accuracy.

Overview

7
7
years of professional experience
5
5
years of post-secondary education
10
10
Certifications
3
3
Languages

Work History

Regulatory Compliance Operations Associate

FlyHomes
04.2022 - 06.2023
  • Monitoring regulatory changes that impact business and support teams to make necessary changes to ensure business is complaint
  • Identify, assess and mitigate key business risks: Support supervisor and work with business stakeholders to create, review and uplift process
  • Assisting Identify opportunities to automate business requirements
  • Establish framework for identifying compliance gaps
  • Creating new policies and procedures as result of regulatory change
  • Assisting with closing out audit item gaps and findings
  • Ownership of projects: Execute all assigned projects in timely, thorough manner and with careful attention to detail typically, business leaders expect turnaround SLA of 24-72 hours
  • Scope out requirements, define metrics, project - manage changes, and track milestones that result in operational and regulatory improvements and reduce business liabilities
  • Pull reports and persistent follow up as needed per leadership and business requests
  • Perform regular internal audit functions including document request and review, audit scoring, and drafting audit reports
  • Develop and disseminate audit performance to create actionable items and accountability on weekly and monthly reporting basis
  • Assist in developing collateral to effectively train appropriate teams
  • Ensure initiatives are implemented, and measure and report results
  • Troubleshoot and document regulatory processes and system defects, create or maintain clear SOPS , and train or update appropriate teams to take ownership
  • Establish strong cross - functional working relationships to improve overall operations and provide insights that drive business results
  • Policies and Procedures: Assist supervisor and relevant stakeholders to research, draft and amend existing documents to include policies and procedures to address regulatory compliance requirements and audit procedures
  • Resolved problems, improved operations and provided exceptional service
  • Proven ability to influence senior stakeholders. drive risk management culture and being proactive in identifying, researching and escalating issues.

Senior Operational Analyst IV–Collateral Underwriter, Operational Analyst

Better Mortgage Corporation, Freddie Mac
10.2019 - 03.2022
  • Associated with Collateral department Project Certification as an, Conducting risk analysis of projects and understanding project feasibility for Lenders based on FNMA and, guidelines
  • Review documentation for all new and existing condominium and planned unit projects to ensure compliance with internal policies and procedures as well as requirements of Fannie Mae, Freddie Mac and FHA
  • Obtaining legal guidance and approvals for communications, process and general compliance related issues in business
  • Monitoring regulatory changes that impact customers and business to make necessary changes to ensure work is complaint
  • Determine eligibility of project (underwrite budget, financials, questionnaire, etc.)
  • Perform legal reviews of projects (review by laws, offering plan, etc.)
  • Performing Full Reviews on loan which involves extensive review of documents based on high risk involvement
  • Communicate to both internal and external contacts clearly and concisely
  • Collaborate with operations as needed to resolve problems and questions timely
  • Adhere to service level agreements while working in high - volume environment
  • Teamwork oriented, detailed, and exceptional customer service
  • Work closely with Ally, J.P Morgan, Well Fargo etc. backed loans
  • Targeting and Maintaining L2F cycle as per organization norms Identifying and fixing process gaps if any Root cause analysis of any problem identified and fixing it end to end
  • Completing hiring of new candidates as per targets laid down by senior management and facilitating training arrangements and performance evaluation
  • Completing yearly performance reviews and finalizing ratings for entire team in partnership with respective team leads
  • Conducting regular 1:1s with DR's and monthly / quarterly 1:1s with associates
  • Maintaining and updating Standard Operating Procedures and preparing work flow allocation for team
  • Ensuring and maintaining quality of team by providing feedback, training, explaining business implications to team members along with achieving targets
  • Facilitating periodic coaching of team as well as new hires

Senior Process Executive

Cognizant
08.2017 - 10.2019
  • Identify and give feedback on agent shortcomings in soft skills and process knowledge
  • Temp SME for team and process
  • Developed over 100 Ads each day for clients in conjunction with content team of creative group
  • Mentoring and training up juniors and new associates
  • Arranging & chairing weekly team meetings, focusing on targets & achievements
  • Prepared cheat sheets to help process faster and reduce errors on quality piece
  • Daily, monthly, quarterly and annual reporting of business
  • Preparing daily workloads for staff & co-coordinating daily allocation of work
  • Handling new client enquiries and acting as face of business Dealing with and resolving problems and issues which arise

Freelance Writer & Relationship Manager

MindHour
11.2016 - 05.2017
  • Composed revised and proofread corporate communications and marketing material
  • Developed corporate brochure content for both online and offline platform in conjuction with the content team
  • Taking feedback from the clients to maintain a smooth relation and better understanding
  • Analysis on what better can be provided to clients so as to increase the business.

Education

B.Tech - Computer Science & Engineering

PSIT College Of Engineering
Kanpur
08.2012 - 05.2016

Intermediate -

Dr. Virendra Swarup Public School
Kanpur
04.2011 - 05.2012

Skills

Maintaining regulatory compliance, Document Processing

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Certification

Corporate Training, AML/CTF Udemy

Timeline

Regulatory Compliance Operations Associate

FlyHomes
04.2022 - 06.2023

Senior Operational Analyst IV–Collateral Underwriter, Operational Analyst

Better Mortgage Corporation, Freddie Mac
10.2019 - 03.2022

Senior Process Executive

Cognizant
08.2017 - 10.2019

Freelance Writer & Relationship Manager

MindHour
11.2016 - 05.2017

B.Tech - Computer Science & Engineering

PSIT College Of Engineering
08.2012 - 05.2016

Intermediate -

Dr. Virendra Swarup Public School
04.2011 - 05.2012

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Neha BakshiRegulatory Compliance Operations Associate