TUSHAR B SHETH
BENGALURU
Summary
Management professional with 8+ years of experience in US mortgage industry, equipped with good knowledge of financial systems. Seeking to leverage acquired professional knowledge and skills to effectively fill leadership roles, contributing to organizational growth and progress.
Meticulous and knowledgeable Compliance Manager with an year record of success in policy development, program management, risk mitigation and operational planning. Proficient in maintaining regulatory compliance and correcting systemic issues in collaboration with business managers. Team-focused, consistent and diplomatic with a focus on building strategic alliances and enhancing company standing.
Overview
14
14
years of professional experience
1
1
Certification
Work History
Compliance Manager
IDA Automation Private Limited
Bangalore
04.2023 - Current
- Was involved in recertification of ISO 27001:2013 & 9001:2015 certifications and currently progressing on SOC type 1 & 2.
- Developed and maintained an ISO 27001 & 9001 quality management system, ensuring compliance with all applicable regulations.
- Organized initiatives, drafted documentation and enforce compliance with best practices.
- Completed internal and external audits according to established procedures.
- Participated in external ISO certification assessments as required by accreditation bodies.
- Prepared reports and presentations outlining findings from internal audits and compliance reviews.
- Trained personnel on ISO policies, processes, and procedures.
- Conducted periodic audits of processes and procedures to identify areas for improvement in the organization's operations.
Management Trainee
STELLAR INNOVATIONS PRIVATE LIMITED
Bangalore
12.2022 - 04.2023
- Manage and oversee team of 10 FTE's who are engaged in internal quality testings (Control testing) and performing process level transactions
- Engages in the development and implementation of new controls, action plans, and root cause analysis of gaps and assist with the development of corrective action plans
- Moved to Compliance team to track / Monitor Incident management across support functions.
Team Lead
OCWEN FINANCIAL PRIVATE LTD
Bangalore
06.2021 - 12.2022
- Manage and oversee team of 5 FTE's who are engaged in internal quality testings and performing various regulatory requirements testing
- Manage Letter Standardization process within servicing operations department which includes updating of regulatory/state laws requirements, Static and Dynamic letter changes, Verbiage Bookmarks updating and their functionality and Letter logic change request management
- Monitored team performance, providing suggestions for improvement and training program's to increase team efficiency
- Led staff meetings to delegate tasks, assign workloads and communicate changing priorities.
Lead Analyst
OCWEN FINANCIAL SOLUTIONS LTD
Bangalore
12.2013 - 05.2021
- Uphold the compliance risk-based framework by identifying and assessing the effectiveness of controls in place via engagement with management and, where necessary, develop action plans to address control deficiencies or gaps identified
- Manage and oversee team performance on monthly basis, set up one on one sessions with team members and provided feedback
- Handling all other daily and quarterly deliverables which required in smooth conduct of managing team and their routine requirements
- Monitor compliance with the Business Unit's on US regulations such as RESPA, HPA, FDPA & TILA
- Any amendments /remediation were updated in respective policies and procedures
- Manage projects/initiatives to investigate potential issues of non-compliance, resolve control gaps and improve risk management exposures
- Manage validation/testing process to monitor servicing operations practices to ensure they comply with applicable federal/state laws, government agencies, investor rules and internal policies.
Senior Customer Care Executive
Standard Chartered Bank
Bangalore
04.2013 - 09.2013
- Was handling inbound & outbound calls for credit card department (Indian region) based on team's requirements
- Coordinated referrals and escalations to obtain specialized support.
Senior Customer Care Executive
IBM DAKSH PRIVATE LTD
Bangalore
08.2010 - 02.2013
- Handled high-volume telephone calls to address and resolve customer queries
- Followed scripts and processes to uphold brand standards.
Customer Care Executive
AEGIS PRIVATE LTD
Bangalore
08.2010 - 08.2011
- Maintained extensive knowledge of product range to effectively answer employee and customer queries on product specifications
- Maintained excellent customer relationships by efficiently solving queries, complaints and issues.
Education
MBA - Finance
SIKKIM MANIPAL UNIVERSITY
Bangalore, Karnataka04.2013
Bachelor of Business Administration - Accounting
ADARSH JAIN COLLAGE
04.2009
Skills
- Document reviews
- Audit oversight
- Risk Analysis
- Quality controls
- Compliance Monitoring
- Training Coordination
- Analytical Thinking
- Internal Auditing
Certification
- Lean Six sigma Green Belt Certification in the year of 2019 through Institute of VarSigma
- ISO 27001 Lead Implementor, certified in the year of 2024 through Institute of BSI
Timeline
Compliance Manager
IDA Automation Private Limited
04.2023 - Current
Management Trainee
STELLAR INNOVATIONS PRIVATE LIMITED
12.2022 - 04.2023
Team Lead
OCWEN FINANCIAL PRIVATE LTD
06.2021 - 12.2022
Lead Analyst
OCWEN FINANCIAL SOLUTIONS LTD
12.2013 - 05.2021
Senior Customer Care Executive
Standard Chartered Bank
04.2013 - 09.2013
Senior Customer Care Executive
IBM DAKSH PRIVATE LTD
08.2010 - 02.2013
Customer Care Executive
AEGIS PRIVATE LTD
08.2010 - 08.2011
MBA - Finance
SIKKIM MANIPAL UNIVERSITY
Bachelor of Business Administration - Accounting
ADARSH JAIN COLLAGE
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