SANJAY GUPTA
Risk & Compliance Officer
New Delhi
Summary
Detail oriented, self-motivated & effective communicator with good relationship building and interpersonal skills. ~6 years of experience in Governance, Risk Management and Compliance with HCL Technologies. Multitasker and efficient team player. With good negotiations skills and core knowledge and have gained a lot of process insight over the period of time. Ability to handle multiple projects simultaneously with a high degree of accuracy.
Overview
12
12
years of professional experience
3
3
years of post-secondary education
6
6
Certifications
Work History
Specialist - SME : Risk & Compliance
HCL Technologies Ltd.
Noida
09.2017 - Current
- Implemented comprehensive risk assessment protocols to identify and mitigate potential compliance issues within organization.
- Led training sessions for employees on risk management best practices, resulting in improved compliance awareness and adherence.
- Program internal and external audits on a continuous basis to be compliant & to meet the customer regulatory & IT security requirements
- Update security controls and provide support to all stakeholders on security controls comprising internal assessments, regulations, protecting Personally Identified Information (PII) data, Payment Card Industry Data Security Standards (PCI DSS)
- Familiarity with security, and risk management frameworks such as ISO/IEC 27001, ISO 9001, GDPR and Business Continuity Management
- Planning, execution, and reporting on audit engagements and auditing processes
- Ensure all required controls are in place, documented, and governed so as to meet complete audit compliance standards
- Master Professional Service Assessment [MPSA] Audit & Enhanced Compliance Assessment [ECA] Audit
- Risk assessment and management methodology
- Performed test of controls – TOD and TOE (test of design and effectiveness testing)
- Execute specific projects assigned for providing inputs to management for improving governance mechanisms
- Managed support function in a multi-stakeholder environment, ensuring all stakeholders are informed, involved, and supportive of initiatives
- Perform audits through the review of physical and electronic records, evaluate the level of compliance with established controls, policies and procedures, laws and regulations in the assigned functional areas, identify control weaknesses and initiate workable solutions
- Collaborate with IT, business areas, and the internal Security team to deliver within deadlines
- Conducted thorough investigations into potential compliance violations, resulting in timely resolution and prevention of future non-compliance incidents.
- Adaption of existing control frameworks or set up new control as appropriate
- Create and manage a remediation plan in response to audit discoveries and compliance violations.
Senior Associate
IQOR India Services Pvt. Ltd
Noida
2 2015 - 09.2017
- Assist in developing new solutions and methodologies for project deliverables
- Collating and publishing clientele confidential data
- Prepare written deliverables and presentations
- Develop report on findings and remediation plan
- Manage access to information and documents
- Evaluate effectiveness of baseline controls
- Handling customer escalations
- Recognized by higher management for carrying out empathy and professionalism in addressing and resolving customer escalations
- Identified issues, and carried out root cause analysis to resolve customer issues
- Involved in client and stakeholder interactions and reporting.
Team Expert
Applect Learning Systems Pvt. Ltd.
New Delhi
06.2012 - 01.2015
- Demonstrating and taking action for all clients’ correspondence promptly and politely thereafter increased revenue by good margin
- Maintaining all billing & sales records
- Providing swift resolution to customer’s complaints, ultimately repairing trust and winning loyalty
- Coordinating with management by formulating activity and results reports
- Responsible for providing details to customers about product, policies & services.
- Enhanced team performance through regular coaching sessions and constructive feedback
Education
B.A English Hons. -
Delhi University
New Delhi 07.2012 - 05.2015
Skills
Effective communication
undefinedCertification
Awarded as "Compliance Champion"
Additional Expertise Trainings
- Good knowledge of Microsoft tools like – Word, PPT, Excel etc.
- Professional skills leading and facilitating change
- Effective business communication: interpersonal communication and listening skills
- Strong Analytical problem-solving and organizational abilities
- Ability to work in cross functional organization
Personal Information
- Date of Birth: 04/10/92
- Marital Status: MARRIED
Timeline
Specialist - SME : Risk & Compliance
HCL Technologies Ltd.
09.2017 - Current
B.A English Hons. -
Delhi University
07.2012 - 05.2015
Team Expert
Applect Learning Systems Pvt. Ltd.
06.2012 - 01.2015
Senior Associate
IQOR India Services Pvt. Ltd
2 2015 - 09.2017
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