TUSHAR B SHETH
Risk & Compliance
Bengaluru
Summary
Detail-oriented Compliance Manager with 1.5 years of expertise in risk management, policy development, and strategic planning. Possesses advanced knowledge of compliance, with a proven track record of partnering with executives and business leaders to identify vulnerabilities and implement corrective actions. Collaborative and team-oriented, with excellent communication and interpersonal skills that foster strategic partnerships and enhance company reputation.
With over 8 years of experience in the US mortgage and service industries, I have conducted organizational compliance audits, process-related audits, and borrower counsel assurance. My extensive background includes ensuring adherence to regulatory requirements, driving process improvements, and promoting a culture of continuous improvement within organizations.
Overview
14
14
years of professional experience
2
2
Certifications
Work History
RISK & COMPLIANCE MANAGER
IDA Automation Private Limited
4 2023 - Current
- Played a key role in the recertification process for ISO 27001:2022 and QMS 9001:2015, working closely with external auditors.
- Trained over 600 employees quarterly on ISO standards, promoting a culture of continuous improvement and ensuring adherence to ISO policies.
- Introduced various policies including POSH, Privacy, Anti-bribery, and Non-solicitation.
- Conducted and assisted in various training sessions such as Fire Drills, BCP table-top exercises, CAB, and SSC meetings.
- Collaborated with clients during their internal audits to ensure compliance from their process standpoint.
- Implemented an effective document control system for secure storage, easy retrieval, and proper disposal of ISO-related records.
- Facilitated regular management review meetings to assess ISO management system performance, identify areas for improvement, and establish action plans.
- Conducted periodic compliance audits and reviews to identify areas for enhancement.
- Oversaw a team of compliance professionals, providing guidance, mentorship, and support for their growth and development.
- Managed the full life cycle of assigned audits in alignment with departmental procedures, delivering progress and closing reports to senior management and clients.
- Developed and implemented effective compliance policies and procedures to meet regulatory requirements.
ASSISTANT MANAGER
STELLAR INNOVATIONS PRIVATE LIMITED
12.2022 - 04.2023
- Managed and oversaw a team of 10 full-time employees engaged in internal quality testing (control testing) and performing process-level transactions
- Engaged in developing and implementing new controls, action plans, and root cause analysis of gaps while assisting with the creation of corrective action plans
- Transitioned to the compliance team to track and monitor incident management across support functions.
TEAM LEAD
OCWEN FINANCIAL PRIVATE LTD
06.2021 - 12.2022
- Managed and oversaw a team of 5 full-time employees engaged in internal quality testing and various regulatory compliance testing
- Managed the letter standardization process within the servicing operations department, including updating regulatory and state law requirements, handling static and dynamic letter changes, updating verbiage bookmarks, and overseeing letter logic change request management
- Monitored team performance, offering suggestions for improvement and training programs to enhance team efficiency
- Led staff meetings to delegate tasks, assign workloads, and communicate shifting priorities.
LEAD ANALYST
OCWEN FINANCIAL SOLUTIONS LTD
12.2013 - 05.2021
- Uphold the compliance risk-based framework by evaluating the effectiveness of existing controls through management engagement, and, where necessary, develop action plans to address identified deficiencies or gaps
- Manage and review team performance monthly, conduct one-on-one sessions with team members, and provide constructive feedback
- Oversee daily and quarterly deliverables necessary for efficient team management and meeting routine requirements
- Monitor compliance with U.S
- Regulations such as RESPA, HPA, FDPA, and TILA within the business unit
- Update respective policies and procedures as needed for amendments or remediation
- Lead projects and initiatives to investigate potential issues of non-compliance, resolve control gaps, and improve risk management practices
- Manage the validation and testing process to ensure servicing operations comply with applicable federal and state laws, government agency requirements, investor rules, and internal policies.
SENIOR CUSTOMER CARE EXECUTIVE
Standard Chartered Bank
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
08.2010 - 02.2013
- Handled high-volume telephone calls to address and resolve customer queries
- Followed scripts and processes to uphold brand standards.
Education
MBA - Finance
SIKKIM MANIPAL UNIVERSITY
Bengaluru, India04.2013
Bachelor of Commerce - Accounting
ADARSH JAIN COLLAGE
Bengaluru, India 04.2001 - 05.2009
Skills
Compliance documentation
Quality controls
Internal Audits
Risk Assessment
Incident Response
Information Security
Quality Management Processes
Adaptability and Flexibility
Effective Communication
Six Sigma Methodologies
ISO standards knowledge
Attention to Detail
Certification
Lean Six sigma Green Belt Certification in the year of 2019 through Institute of VarSigma
Boldprofile
https://bold.pro/my/tusharb-sheth/600r
Languages
Gujarati
English
English
Timeline
ISO 27001 Lead Implementor, certified in the year of 2023 through Institute of BSI
10-2023
ASSISTANT MANAGER
STELLAR INNOVATIONS PRIVATE LIMITED
12.2022 - 04.2023
TEAM LEAD
OCWEN FINANCIAL PRIVATE LTD
06.2021 - 12.2022
Lean Six sigma Green Belt Certification in the year of 2019 through Institute of VarSigma
07-2019
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
Bachelor of Commerce - Accounting
ADARSH JAIN COLLAGE
04.2001 - 05.2009
RISK & COMPLIANCE MANAGER
IDA Automation Private Limited
4 2023 - Current
MBA - Finance
SIKKIM MANIPAL UNIVERSITY