Sreekanth K
Controls And Compliance
Bengaluru
Summary
Risk & Compliance professional with extensive experience in the Fin Tech and Banking industry, specializing in AML, KYC, KYB, Sanctions Screening, Financial Crime Risk, Operational Risk Management, and Regulatory Compliance. Proven expertise in risk assessments (ROSA/FMEA), mitigation strategies, access control, and data privacy safeguards. Adept at partnering with operations, technology teams, and clients to ensure regulatory adherence, risk mitigation, and process improvements in high-volume Fin Tech environments.
Overview
17
17
years of professional experience
Work History
Sr. Supervisor Controls & Compliance
CONCENTRIX DAKSH
01.2023 - Current
- Conducting risk assessments (operational, compliance, data privacy) across FinTech processes, identifying inherent and residual risks with mitigation plans.
- Manage AML, KYC, KYB, Sanctions and financial crime risk assessments, ensuring alignment with regulatory and client requirement.
- Leading client and regulatory audits, coordinating evidence, responding to observations and tracking closure of such functions.
- Identified internal & external risks and integrated them into FMEA/ROSA processes ensuring timely remediation.
- Reviewing and enforcing access control, data leakage prevention and information security controls within organization control.
- Investigate incidents, breaches and policy deviations, performing Root Cause Analysis and implementing corrective actions.
- Support Vendor and Third-Party risk assessments including due diligence and ongoing monitoring.
- Delivering compliance awareness and training sessions to operations teams.
- Provides support for large and complex audits, examinations, reviews and projects related to keeping the business line in compliance with regulatory issues and requirements.
- Managing regular audit updates within departments to ensure alignment to audit findings and best practices.
- Manage reporting, monitoring and tracking deficiencies, remediation and resolutions.
- Provide Daily Warnings for risk related issues within the Business.
- Conducting Process Reviews to identify Key Risks.
- Prepare and review Root Cause Analysis for critical breaches.
- Conduct Pilot Testing on Compliance testing and framework Outcomes-Based Testing.
- Side by side to gain process understanding in order to review the same.
- Ensure proper Review & Reporting mechanism is adhered to Conduct WPS activities. Process branches Ops Loss.
- Carry out activities related to Physical Security, IT & Info Security. Conducting risk awareness/training sessions and promoting awareness across the business.
- Ensured timely completion of projects through effective scheduling and prioritization of tasks based on urgency and importance.
- Strengthened cross-functional collaboration, leading to more cohesive teamwork and better overall results.
- Resolved conflicts proactively by facilitating open communication among team members and actively addressing underlying issues.
Team Leader Operations
CONCENTRIX DAKSH
09.2018 - 12.2022
- Managed a team of 20 Customer Service Representatives, ensuring all key performance metrics met or exceeded Client SLA targets.
- Conducted monthly, quarterly, and annual performance reviews for DSRs, identifying development areas and implementing targeted action plans, resulting in improved individual and team performance.
- Oversaw day-to-day operations, including production floor management, administrative tasks, and continuous performance improvement initiatives.
- Controlled attrition and shrinkage through effective capacity planning, manpower management, and operational loss minimization.
- Organized staff training and multi-skilling programs, enhancing knowledge retention, efficiency, and team productivity.
- Initiated and facilitated client sessions for monthly and quarterly business reviews, identifying process improvement and business growth opportunities.
- Ensured timely closure of escalations within processes and across allied departments, maintaining service excellence.
- Developed team members through targeted coaching, delegation, and mentorship, fostering skill growth and accountability.
- Managed conflict resolution and established open communication, promoting a positive and collaborative work environment.
- Assisted in recruitment and onboarding to build a high-performing team of top performers.
- Recognized as a top performer, awarded a business trip to the United Kingdom in February 2020.
Quality Analyst
CONCENTRIX DAKSH
07.2015 - 09.2018
- Promoted to Quality Analyst Role in the month of Jan 2015.
- Monitor Calls for Voice Operations per the defined target
- Skill to provide coaching & feedback.
- Conduct team huddles and provide updates.
- Calibration of audit with internal team and client
- Monitor team performance and provide trend analysis on Dis problems once.
- Take responsibility of courier management and overall increase in quality of delivery for the team
- Perform Root Cause Analysis on identified defects.
Senior Process Executive-Customer Relationship Management
CONCENTRIX DAKSH
02.2013 - 07.2015
- As a Senior Process executive was responsible for handling collections calls.
- Training agents on operations & Floor policies, complaints handling procedure, coaching & feedback & procedures.
- Was assisting manager on floor with call monitoring, queue watch & referrals.
- Trained 4 batches of 10 agents, as a part of Work Support Group. Trained agents on Collection and Recovery process.
Process Executive
IBM DAKSH
08.2010 - 02.2013
- As a process executive was responsible for handling collections calls for UK Customers.
- Top performer in terms of call quality with excellent handling time.
- Was top collector for 10 months in row.
Adviser LA
24/7 Customer
10.2009 - 08.2010
- Provided online chat support to US-based customers, handling queries related to appliance insurance and related services.
- Assisted in voice support operations, addressing customer inquiries and resolving issues efficiently.
- Ensured high-quality customer interactions while adhering to company policies and service standards.
- Successfully managed multi-channel support (chat and voice), improving customer satisfaction and response times.
- Developed strong knowledge of appliance insurance processes, enabling faster query resolution.
- Maintained up-to-date knowledge on industry trends and regulations, ensuring accurate advice was provided to clients at all times.
Education
BACHELOR OF COMMERCE - Banking And Finance
RABINDRANATH TAGORE UNIVERSITY
India 04.2001 -
PRE-UNIVERSITY - Accounting And Finance
Shree Mangilal Sunderbai Gotawat (SMSG) JAIN PU COLLEGE
Bengaluru07.2008
SSLC - English
BANGALORE MONTESSORI HIGH SCHOOL
Bengaluru01.2005
Skills
AML/CFT/KYC/EDD/ Sanctions Screening
Financial Crime & Fraud Risk
Operational Risk Management (ROSA, FMEA)
Regulatory & Client Audits
Incident, Breach & Escalation Management
Access Control
Third-Party & Vendor Risk
Trainings Attended And Certifications
- CAME- Certified Anti-Money Laundering Expert, Pursuing
- Advanced Training in systems engineering, APOLLO COMPUTER EDUCATION
- Coaching Service Quality (CSQ), A training program that allows one to be more efficient in the process of coaching associates, in a manner that is acceptable to one & all regardless of the background & temperament of the person being coached. This coaching is generally provided to AVP's, Managers, Trainer & quality coaches in workstation role
- Soft Skills Training, Learning the art of saying no. How to be firm on a call yet not sound curt Tone - Techniques stress Empathy and Understanding the callers concerns for total customer satisfaction.
- Positive Feedback, A learning program which involves the best way of giving feedback. It involves the Do's and Don'ts while giving an individual his feedback.
- SPARK, Training to enhance people management skills
- 7 Habits of Highly Effective People, A training program which helps us to look at our world with a renewed vision. The sessions talk about principles of life and the advantages of it
- Six Sigma Yellow Belt and Green Belt, Training completed.
- Lloyds Banking Group Credit Operations Treasury Induction Program, Successfully completed
Personal Information
ID Number: 27081988
Timeline
Sr. Supervisor Controls & Compliance
CONCENTRIX DAKSH
01.2023 - Current
Team Leader Operations
CONCENTRIX DAKSH
09.2018 - 12.2022
Quality Analyst
CONCENTRIX DAKSH
07.2015 - 09.2018
Senior Process Executive-Customer Relationship Management
CONCENTRIX DAKSH
02.2013 - 07.2015
Process Executive
IBM DAKSH
08.2010 - 02.2013
Adviser LA
24/7 Customer
10.2009 - 08.2010
BACHELOR OF COMMERCE - Banking And Finance
RABINDRANATH TAGORE UNIVERSITY
04.2001 -
PRE-UNIVERSITY - Accounting And Finance
Shree Mangilal Sunderbai Gotawat (SMSG) JAIN PU COLLEGE
SSLC - English
BANGALORE MONTESSORI HIGH SCHOOL