Sreekanth K
Bengaluru
Summary
Dynamic risk and compliance professional with extensive experience at Concentrix Daksh, excelling in AML, KYC, and regulatory audits. Proven track record in operational risk management and fostering a culture of compliance, leading to significant improvements in audit outcomes and risk mitigation. Strong analytical skills complemented by effective team leadership and training capabilities.
Overview
16
16
years of professional experience
Work History
Sr. Supervisor Controls & Compliance
CONCENTRIX DAKSH
Bengaluru
01.2023 - Current
- Conducted operational, compliance, and data privacy risk assessments across FinTech processes, identifying inherent and residual risks and developing mitigation plans, resulting in measurable reduction in high-risk findings and improved risk ratings.
- Managed AML, CFT, KYC, KYB, transaction monitoring, sanctions, and financial crime risk assessments to align with regulatory requirements and meet client expectations.
- Led client and regulatory audits, coordinating evidence, responding to observations, and tracking closure of findings, improving audit outcomes and regulatory compliance.
- Identified internal and external risks and integrated them into FMEA/ROSA processes, ensuring timely remediation and strengthened control frameworks.
- Reviewed and enforced access control, data leakage prevention (DLP), and information security controls, strengthening access governance, reducing data exposure risk, and ensuring regulatory compliance.
- Investigated incidents, breaches, and policy deviations, performing root cause analysis and implementing corrective actions to prevent recurrence.
- Delivered compliance awareness and training sessions to operations teams, fostering a culture of risk awareness.
- Oversaw reporting and tracking of deficiencies and remediation efforts, issuing daily warnings for risk-related issues to enhance risk management.
- Conducted process reviews to identify key risks and perform pilot compliance testing and outcomes-based testing.
- Worked side by side with process owners to gain detailed process understanding, resulting in more accurate reviews and timely identification of control improvements.
- Ensured proper review and reporting mechanisms for WPS activities, branch operations loss, physical security, and IT/InfoSec controls.
- Collaborated with business lines to identify, analyze, and mitigate security risks, ensuring ongoing monitoring to maintain acceptable residual risk levels.
Team Leader Operations
CONCENTRIX DAKSH
Bengaluru
09.2018 - 12.2022
- Managed a team of 20 Customer Service Representatives, ensuring all key performance metrics met or exceeded Client SLA targets, while driving overall team development.
- Oversaw day-to-day operations including production floor management, administrative tasks, and continuous performance improvement initiatives across business metrics.
- Managed attrition and shrinkage through capacity planning, operational loss mitigation, and knowledge retention via training and multi-skilling initiatives.
- Conducted monthly, quarterly, and annual performance reviews to assess team progress, pinpoint development areas, and implement action plans for improvement.
- Facilitated client sessions for monthly and quarterly business reviews, identifying and prioritizing opportunities for process enhancements across business lines.
- Ensured timely closure of escalations within processes and across allied departments.
- Recognized as a top performer, rewarded with a business trip to the United Kingdom in February 2020.
Quality Analyst
CONCENTRIX DAKSH
Bengaluru
07.2015 - 09.2018
- Monitored voice operations calls against defined targets, ensuring quality and compliance with organizational standards.
- Monitored team performance metrics and analyzed trends to identify recurring issues and implement corrective measures.
- Conducted root cause analysis on defects, implementing corrective actions to prevent recurrence.
- Provided coaching and feedback to team members to drive continuous improvement in performance metrics.
- Performed audit calibrations with internal teams and clients to maintain consistency and accuracy in evaluations.
- Conducted team huddles, briefings, and updates to ensure alignment and effective communication across operations.
Senior Process Executive-Customer Relationship Management
CONCENTRIX DAKSH
02.2013 - 07.2015
- Managed collections calls, ensuring timely follow-ups and resolution while complying with company policies to enhance customer satisfaction.
- Trained agents on operations, floor policies, complaint handling procedures, and collections processes, providing coaching and feedback to improve performance.
- Supported manager with call monitoring and queue management, facilitating efficient referral handling for seamless daily operations.
- Led training sessions for 40 agents across 4 batches, emphasizing Collection and Recovery processes to improve team capabilities.
Process Executive
IBM DAKSH
Bengaluru
08.2010 - 02.2013
- Earned recognition as top collector over a 10-month period by consistently meeting collection targets.
- Achieved top performance in call quality and efficiency by adhering to established guidelines.
- Sustained high call quality by balancing handling time and resolution rates effectively.
- Managed collections calls for UK-based customers, ensuring adherence to company policies and delivery of high customer service standards.
Adviser LA
24/7 Customer
Bengaluru
10.2009 - 08.2010
- Successfully managed multi-channel support (chat and voice), improving customer satisfaction and response times.
- Delivered online chat support to US-based customers, resolving queries on appliance insurance and related services.
- Supported voice operations, addressing customer inquiries and efficiently resolving issues.
- Maintained high-quality customer interactions, adhering to company policies and service standards.
- Developed strong knowledge of appliance insurance processes, enabling faster query resolution.
Education
BACHELOR OF COMMERCE - Banking And Finance
RABINDRANATH TAGORE UNIVERSITY
India06.2018
PRE-UNIVERSITY -
BM GOWDAIAH JAIN PU COLLEGE
Bengaluru07.2008
SSLC -
BANGALORE MONTESSORI HIGH SCHOOL
Bengaluru01.2005
Skills
Risk & Compliance:
- AML, CFT, KYC, EDD, Sanctions Screening
- Operational risk management
- ROSA, FMEA, Governance, GRC, Compliance
- Audit management
Incident management
- CMS Supervisor, Assessments, Investigations
- Access Control, Risk Mitigation, Controls Implementation
Avaya, Citrix, MS Office Applications, MRTORA, Fire
- Avaya, Citrix, MS Office Applications, MRTORA, Fire
Access & Security Controls:
- Access Control, Risk Mitigation, Controls Implementation
Personal Information
Date of Birth: 08/27/88
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.
- Successfully completed the Lloyds Banking Group Credit Operations Treasury Induction Program.
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
PRE-UNIVERSITY -
BM GOWDAIAH JAIN PU COLLEGE
SSLC -
BANGALORE MONTESSORI HIGH SCHOOL