Sree Ram Guthena
Regulatory Reporting | QFC Record Keeping | Audit Support | Data Automation | Process Optimization
Hyderabad
Summary
Dynamic Data & Compliance Specialist with 7+ years of experience in investment banking at Wells Fargo. Proven expertise in data analysis, exception management, and regulatory reporting with a strong track record of designing automation solutions in Excel and Tableau that deliver significant time and cost savings. Recognized for driving process efficiency, risk mitigation, and audit readiness through innovative reporting tools and streamlined workflows
Overview
7
7
years of professional experience
Work History
Associate - Regulatory Reporting
Wells Fargo & Company
03.2022 - Current
- Part of the Qualified Financial Contracts – Record Keeping (QFC-RK) team, ensuring accurate regulatory submissions.
- Investigated and resolved trade cycle exceptions across multiple SORs using JIRA, coordinating with negotiators, counterparties, tech teams, and DevOps teams.
- Designed and maintained SOPs, process maps, trackers, and metrics; ensured compliance with FDIC audits and internal controls.
- Supported regulatory submissions, internal/external audits , and risk advisory escalations.
- Conducted risk identification, assessment, and monitoring ; contributed to change management by closing process gaps.
- Collaborated with divisional managers on financial and IT projects impacting regulatory reporting.
- Delivered Tableau dashboards and data control reports ; automated reporting processes to improve efficiency.
- Performed UAT, BCP resilience, QA transactional testing , and provided sign-offs for production deployment.
- Conducted cross-functional training, refresher sessions, and delivered process overview presentations across business lines.
Loan Document Processor
Wells Fargo & Company
02.2019 - 03.2022
- Post-Fund Over Tolerance Review (PFOTR): Conducted tolerance checks on funded loans to identify discrepancies, initiated remediation actions, and minimized financial leakage, driving measurable cost savings.
- Purchase Agreement Review: Validated purchase price and transfer tax adjustments; ensured corrections within regulatory timelines to prevent reporting errors, and safeguard revenue.
- Partnered with cross-functional teams to strengthen risk controls and ensure compliance with internal policies and external regulations.
- Delivered consistent process accuracy and operational efficiency , contributing to improved audit readiness .
Education
MBA - Finance
Sree Nidhi Institute of Science And Technology
Hyderabad 04.2001 -
B.Com - Computers
ST.Mary's Centenary Degree College
Secunderabad, India 04.2001 -
Skills
Data Analysis
Process Automation
Regulatory Reporting
Audit Support
Escalation Handling
SOP creation
Tableau
Alteryx
Advanced Excel
Analytical Mindset
Cross functional collaboration
Cross level training
Proactive
Individual contributor
Process Leadership
Attention to Detail
Problem Solving
Decision Making
Accomplishments
- Implemented an Idea Project in Post Fund Over Tolerance Review (PFOTR), delivering measurable FTE savings.
- Partnered with the Transformation Team to automate a manual process, saving ~2 hours per day .
- Designed an Excel template that reduced manual effort by 140 minutes per day.
- Decommissioned a sub‑process activity, achieving 4 0 minutes daily efficiency gain.
- Collaborated with Technology and Project Management teams to resolve 186,000+ breaks in Tableau reporting; currently engaged in development and UAT testing.
- Co‑developed a comprehensive dashboard for monitoring feed arrival, SLA performance, record count variance, policy violations, automated notifications, and trend analysis — enhancing visibility and compliance.
- Proposed Start‑of‑Day (SOD) and End‑of‑Day (EOD) exception management enhancements , contributing ~40 minutes of process efficiency.
- Executed multiple testing cycles including UAT, post‑production validation, audit support, risk dip testing, BCP resilience testing , and provided final sign‑off for production deployment.
Process Innovation & FTE Savings
Enhancement Projects & Testing
Awards
- Wells Fargo Champions Award twice for excelling in the all the fields in process.
- Manager Spotlight twice award.
- Consistently recognized with Shared Success, Top Performer, Top Achiever and Above & Beyond Awards for exceptional multi‑tasking, flexibility, innovation, and ownership .
- Best team award.
Special Interests
- Volunteered for Sparsh,CSR Activities.
- Volunteered for FACE events.
- Active participation in Organization's annual events
- SPOC for Team building activities like Team dinner and outings.
Timeline
Associate - Regulatory Reporting
Wells Fargo & Company
03.2022 - Current
Loan Document Processor
Wells Fargo & Company
02.2019 - 03.2022
MBA - Finance
Sree Nidhi Institute of Science And Technology
04.2001 -
B.Com - Computers
ST.Mary's Centenary Degree College
04.2001 -