RICHA KAPUR
Principal Consultant
Faridabad,Haryana
Summary
With 10.5 years of diverse professional experience, actively seeking a rewarding career opportunity to leverage extensive training and skills. Goal is to make a substantial impact on company success by bringing expertise and dedication. Eager to contribute proven track record of accomplishments and drive for excellence to propel the organization forward.
Overview
13
13
years of professional experience
2
2
Languages
Work History
Principal Consultant
Wipro
Greater Noida
06.2024 - Current
- Lead Risk and Compliance to protect sensitive information
- Drive Risk Management, Regulatory and Contractual compliance
- Diagnose the level of preparedness of the customer for cyber security and health and accordingly propose a solution to the client
- Build appropriate risk governance with client partners and internal stakeholders and ensure customer policies and SOW requirements are in line with the deliverables
- Govern design and rollout of Common Compliance frameworks
- Ensure policies, processes and standards are in place to identify, assess, measure, manage and report risks
- Manage the security requirements including regulatory requirements as per the customer demands
- Monitor risk controls like access controls, backup, recovery, network security etc as per the client needs
- Act as point of contact for escalations on the risk management framework and provide guidance / decisions as appropriate
- Act as the Subject Matter expert (SME) on risk for team and drive actions required to ensure the businesses remain fully compliant
- Responsible for building, developing & maintaining effective relationships with Key stakeholders in Client Organization, especially related to their Risk functions
- Ensure all required controls are implemented, documented and monitored so as to ensure full audit compliance
- Coordinate with IT team members to ensure IT audit findings are addressed in a timely manner
- Monitor overall cyber health of the customer and suggest corrective measures to cyber security issues and provide timely support
- Team Management
- Clearly define the expectations for the team
- Assign goals for the team, conduct timely performance reviews and provide constructive feedback to own direct reports
- Guide the team members in acquiring relevant knowledge and develop their professional competence
- Educate and build awareness in the team in Wipro guidelines on revenue recognition, pricing strategy, contract terms and Revenue Assurance Manual
- Ensure that the Performance Nxt is followed for the entire team
- Employee Satisfaction and Engagement
- Lead and drive engagement initiatives for the team
- Track team satisfaction scores and identify initiatives to build engagement within the team
Internal Controls & Compliance Sr Analyst
Accenture
Gurgaon
04.2022 - 05.2024
- Responsible for taking walkthrough calls for ITGC Controls with the direct clients and engagement teams and following up on the missing items or queries to validate the control testing as per the Risk Control Matrix maintained by each specific client
- Providing remediation for the exception identified in any control to be followed in the next audit year or next testing period as per the frequency of the audit of specific controls
- Performing end to end control audits of the on-shore client's front-office and financial applications, and procedures in conjunction with Sarbanes Oxley (SOX) compliance, including functional areas such as temporary payroll, billing, and cash receipts
- Responsible for working with different business owners on implementation, execution and compliance with entity level controls and execution of design effectiveness and operating effectiveness
- Collecting review and analyses data pertaining to information systems functions relative to Sarbanes-Oxley compliance by marking annotations and validating each control
- Reviewing and executing various ITGC key control tests
- Performing SOX self-assessment testing for all business processes including IT functions and entity level controls
- Have high level understanding and knowledge of Business Continuity, Disaster Recovery, Data security and Data privacy and Business Auditors
Senior Associate
PwC (KSDC)
Bengaluru
06.2019 - 04.2022
- Responsible for taking walkthrough calls with the direct clients and engagement teams and following up on the missing items or queries to validate the control testing as per the Risk Control Matrix maintained by each specific client
- Providing remediation for the exception identified in any control to be followed in the next audit year or next testing period as per the frequency of the audit of specific controls
- Performing end to end control audits of the on-shore client's front-office and financial applications, and procedures in conjunction with Sarbanes Oxley (SOX) compliance, including functional areas such as temporary payroll, billing, and cash receipts
- Responsible for working with different business owners on implementation, execution and compliance with entity level controls and execution of design effectiveness and operating effectiveness
- Collecting review and analyses data pertaining to information systems functions relative to Sarbanes-Oxley compliance by marking annotations and validating each control
- Reviewing and executing various ITGC key control tests, Soc 1 and Soc 2
- Performing SOX self-assessment testing for all business processes including IT functions and entity level controls
CDD Analyst
HSBC Electronic Data Processing India Pvt Ltd
Bengaluru
07.2018 - 05.2019
- Completion of the CDD profile always in the customer lifecycle, including CDD trigger events and reviews as part of global standards
- The role will ensure client expectations are set against defined Service Level Agreements (SLAs) and these SLAs are visible & managed across all functions
- Manage existing client CDD processes to define SLAs, ensuring any risks to the timescales are escalated to the Team Leader and Relationship Manager
- Liaise with the Branch to gather detailed customer information and supporting documentation required to complete the CDD profile including Financial Crime Risk Review (FCRR)
- Act as a point of escalation for Service Delivery and escalate a case to the FCC Team if the customer is not cooperating in providing necessary documents or if finding Suspicious raising an UAR (Unusual Activity Report)
- Manage the CDD refresh for existing clients of all levels (High Risk, Medium Risk & Low Risk) Profiles & understanding client Risk Rating, PEP
- Request and follow-up with the Branch for outstanding information and documentation; including KYC/CDD and signed account opening documents
- Ensure that the profiles triggered as dormancy or priority cases are dealt ASAP
- Ensure that any data input is dealt with in a timely manner and in the correct and consistent format
- Ensure compliance of both general and anti-money laundering and anti-terrorist financing in accordance with HSBC or regulatory standards and policies; and optimize relations with regulators by addressing any issues
Senior Assistant Claims Examiner
XCHANGING A DXC Technology Co.
Bengaluru
03.2016 - 04.2018
- Complete Client / underwriting account review by doing KYC of the documents of the client
- Premium collection for due balances & timely settlement and Effective management of correspondence/queries
- Understanding the claims cycle and premiums cycle and processing entries on new platform
- Increased customer satisfaction with timely responses to inquiries, thorough research, and effective problem-solving strategies.
- Assisted manager in all aspects of business operations.
Senior Associate-Customer Operations
HDFC STD LIFE INSURANCE LTD
Noida
01.2015 - 06.2015
- Assisting customers and solving customer queries
- Generating assets leads by calling or other resources and cross selling and achieving targets of LI
- Increased customer service success rates by quickly resolving issues.
- Streamlined office operations by effectively monitoring and addressing client correspondence and data communications.
- Answered and managed incoming and outgoing calls while recording accurate messages for distribution to office staff.
Administrator
INDUSIND Bank Ltd
Ghaziabad
05.2012 - 08.2013
- Assisting customers and solving customer queries
- Generating assets leads by calling or other resources and cross selling and achieving targets of LI
- Handled sensitive information discreetly, maintaining strict confidentiality at all times as required by company policy or legal regulations.
- Maintained personnel records and updated internal databases to support document management.
- Supervised administrative support staff members, offering guidance, feedback, and mentorship that contributed to their professional growth and development.
- Served as a liaison between departments, fostering open communication channels that improved overall organizational function.
Education
Dual MBA - Finance & IT
IMT Ghaziabad
Ghaziabad 01.2009 - 2011.01
B. Com (Pass) - Commerce
Delhi University
New Delhi 01.2005 - 2008.01
XII CBSE -
Guru Nanak Public School
Ludhiana 04.2001 - 2005.01
X CBSE -
Bethany Convent School
Prayagraj, India 04.2001 - 2002.01
Skills
IT Risk Office
IT General Control
Governance, Risk and Compliance
IT Application Controls
Accomplishments
- Diploma in Fine Arts, 12/2014
- IRDA Certified, 06/2013
- Certificate of Excellence for outstanding performance in Transactional Excellence-Zero Error, HDFC STD LIFE INSURANCE LTD, 01/2015
- Spot award for high-quality deliverables to the client, PwC, 01/2021
- Territory spot award for high-quality deliverables to the client, PwC, 10/2021
- Core Value Champion award for Q2, FY2023, Accenture, 06/2023
Disclaimer
I hereby declare that all the information contained in this resume is in accordance with facts or truths to my knowledge. I take full responsibility for the correctness of the said information.
Timeline
Principal Consultant
Wipro
06.2024 - Current
Internal Controls & Compliance Sr Analyst
Accenture
04.2022 - 05.2024
Senior Associate
PwC (KSDC)
06.2019 - 04.2022
CDD Analyst
HSBC Electronic Data Processing India Pvt Ltd
07.2018 - 05.2019
Senior Assistant Claims Examiner
XCHANGING A DXC Technology Co.
03.2016 - 04.2018
Senior Associate-Customer Operations
HDFC STD LIFE INSURANCE LTD
01.2015 - 06.2015
Administrator
INDUSIND Bank Ltd
05.2012 - 08.2013
Dual MBA - Finance & IT
IMT Ghaziabad
01.2009 - 2011.01
B. Com (Pass) - Commerce
Delhi University
01.2005 - 2008.01
XII CBSE -
Guru Nanak Public School
04.2001 - 2005.01
X CBSE -
Bethany Convent School
04.2001 - 2002.01
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