Yeshwant V. Gaikwad
Compliance Manager
Summary
I reckon myself to be valuable component being associated with a progressive organization that give the scope to apply my knowledge and to obtain challenging position with an opportunity
Detail-oriented Compliance Manager offering 17 years of expertise in risk management, policy development and strategic planning. Advanced knowledge of regulatory compliance with proven track record of partnering with executives and business leaders to identify vulnerabilities and create corrective actions. Collaborative and team-oriented with excellent communication and interpersonal skills to foster strategic partnerships and promote company reputation.
Overview
27
27
years of professional experience
2
2
Certifications
4
4
Languages
Work History
Compliance Manager
TATA CONSULTANCY SERVICES
12.2008 - Current
- The Delivery Excellence Partner (DEP) drives delivery excellence to improve Business value, Quality of Service & Customer Experience in the Account, Service Line or Product Line.
- Reports to the IOU/GDD/DEH
- Responsible for:
- Ensuring Account and Engagement information in the systems are captured accurately and maintained
- Ensuring deployment of processes and systems, process data repository rigorous across all engagements and projects in the account and ensuring effectiveness
- Ensuring deployment of sound estimation practices, modern delivery practices, risk management and defect prevention activities to achieve high quality and productivity in the account
- Ensuring that the processes set by the engagement teams are appropriately tailored from the Guidelines
- Managing activities like PSU, UP Preview, EQA and FIR Review assignment, PRW, monitoring planned deliverables
- Managing implementation of corrective/preventive actions related to the deployment of Compliant Engagement/project level
- Driving Account-level deployment of Agile, RIO, Data Privacy, IP Rights, Contractual Compliance Governance and Crisis Management in collaboration with appropriate stakeholders
- Driving coverage and capture of Customer feedback, appreciations, complaints and the end-to-end closure of resultant actions across engagements in the account
- Ensuring all reviews including periodic management reviews are conducted as per requirements
- Supporting all enterprise level external audits, assessments and customer audits
- Ensuring that process gaps and non-conformance arising out of internal/external audits and assessments are addressed in a timely manner for all the functions and roles within the account
- Providing independent, data-driven governance of project delivery and reporting to relevant stakeholders, enabling rapid recovery of critical projects
- Ensuring data quality and facilitating analysis of data like Defects, NCRs, Issue, Risk and Quantitative Performance Management (including SPC and Predictive models), Analyzing the process performance parameters at the account level, identifying and implementing corrective/preventive actions and reporting the results to DEH periodically
- Driving continuous performance improvement, knowledge management and best practices identification/adoption in the account and enabling sharing across the unit
- Driving collaboration with other units such as BTS and with ISM, CMLAC, MDP Prime and other SMEs for deployment of the
- Empowered to:
- Receive requests for reviews and assign Reviewers on projects
- Approve or stop delivery to the customer through Final Inspection.
- Collaborated with cross-functional teams to establish clear compliance guidelines and expectations for all departments.
- Developed comprehensive training programs for employees, fostering a culture of compliance throughout the organization.
- Enhanced overall business operations by continuously improving policies, procedures, and controls related to compliance requirements.
- Prepared records and data for regular audits.
- Conducted thorough internal audits to ensure adherence to regulatory standards and best practices.
- Played instrumental role in company-wide risk assessment efforts, supporting enhancements in business processes and controls.
- Strengthened company-wide awareness of relevant laws, regulations, and industry standards through targeted trainings, presentations, and ongoing communication efforts.
- Managed compliance efforts, reporting and audits.
- Improved communication channels between departments by establishing regular meetings and reporting structures related to compliance matters.
- Executed corporate food safety strategies, policies and procedures.
- Backed data security and information privacy efforts.
- Coordinated with legal teams to interpret regulatory changes, ensuring timely compliance adjustments.
- Secured data privacy and protection by enforcing stringent compliance measures in handling sensitive information.
SR. Travel Co-Ordinater
JR TECHNOLOGIES (SKYBIRD TRAVEL)
11.2007 - 12.2008
- Working with Sky Bird Travel in US Shift as SR. Travel Co-Originator. This company is third largest consolidator of USA, they setup new back office in India. (ticketing department)
- Creating PNR'S, Checking Fares, Issuing tickets (Domestic & International), Interline Ticketing Etc...
- This team is issuing 900-1000 tickets per day
- Issuing international ticket for U.S. market on SABRE , AMADEUS & ABACUS Reservation on SABRE
- Doing multitask jobs as giving training & giving updates regarding ticketing.
- Working on publish fare. Working on commission contract.
- Working on bulk fare (Net fare) contract. Working on Ex-India Reservation
- Making reservation on Amadeus sending Email with Price quote to the Travel Agent in US.
- Assessed traveler feedback on a regular basis to identify areas for improvement within the department or company-wide policies affecting travel coordination efforts.
- Conducted regular reviews of the company''s travel program to identify areas for improvement and implement changes accordingly, resulting in continuous enhancements to service offerings and traveler experiences.
- Coordinated closely finance department reconciling expense reports submitted individual staff members performing routine audits against approved budgets maintaining fiscal integrity overall program operations environment marked transparency accountability stakeholder interests considered balanced manner.
- Collaborated with other departments to develop customized travel solutions for large-scale events such as conferences and trade shows.
- Managed complex international travel arrangements for senior executives, ensuring seamless itineraries and minimal disruption to schedules.
- Leveraged expertise latest software tools technologies enhance efficiency accuracy planning booking processes ultimately leading higher levels satisfaction among end users widespread adoption such platforms across various departments company.
- Implemented a comprehensive travel policy that resulted in greater adherence to budget guidelines and minimized unauthorized expenditures.
- Ensured compliance with all government regulations related to international travel including passport validity requirements, visa acquisition processes, customs declarations procedures among others assisting in risk mitigation efforts during overseas trips undertaken by employees at various levels within the organization hierarchy.
- Increased efficiency in travel planning by streamlining processes and implementing cost-saving strategies.
- Provided customers with best deals and well-researched travel options, successfully negotiating rates while improving customer satisfaction ratings.
Recruitment Administrator
Accenture
12.2006 - 11.2007
- Scheduling the interview of the candidates of UK who are applying in our UK's office
- Explaining them about the interview
- Taking interview slots from the interviewer in UK
- Sending the interview schedule to the interviewee in UK
- Working on ATAS systems sending Correspondence Email regarding Rejection to the candidate ending Offer Approval to the Recruiter Meeting SLA with the Client in allotted time.
- Sending Weekly report to the client Regarding Rejection, Offers Created.
- Tracked key performance metrics related to recruitment efforts, identifying areas for improvement and optimizing strategies accordingly.
- Supported employee retention initiatives by gathering feedback from new hires on their recruitment experience, identifying areas for improvement.
- Organized and attended career fairs, networking events, and open houses to promote company opportunities and connect with potential candidates directly.
- Streamlined recruitment processes by implementing efficient applicant tracking systems and interview scheduling methods.
- Coordinated internal interviews for existing employees seeking promotions or transfers within the organization.
- Assisted in the development of employer branding initiatives, increasing company visibility and attracting top-tier candidates.
- Managed onboarding process for new hires, providing comprehensive training materials and resources for successful integration into the company culture.
- Assisted in developing recruitment budget plans, tracking expenses and ensuring cost-effective strategies were employed.
Customer Associate
W.N.S TRAVELOCITY.COM
09.2004 - 12.2006
- Worked as senior customer associate (TQ & P DEPARTMENT) Handling Reservations, Ticketing and various queues, making outbound calls, making call to the passengers regarding schedule change, handling reissues, working in shifts reporting to team leader.
- Clearing messages from different airlines for Schedule changes, ticketing, refunds, re-issues.
- Calling passengers for their credit cards being rejected.
- Calling passengers updating changes.
- Booking new flights from availability status showing UC/HX/NO.
- Checking which airline validation.
- Running through quality check to issue electronic tickets through GDS Sabre
- Clearing messages/passengers, queues and sectors.
- Checking referrals/penalties regarding refunds.
- Checking which penalties would be involved while refunding.
- Making sure their reservation is eligible for a refund.
- Checking the fare rules for re-issue of PNR.
- Checking the amount of penalty to be involved with re-issue.
- Also handling package booking and last minute deals.
- Maintaining the Service levels for the metrics kill on a daily basis.
- Actively participating in improving the productivity and digitization process on the floor.
- Imparting Product, Process and System Knowledge and training to the officers.
- Achieving the lead targets set by the management.
- Assisting agents in understanding the function and process and helping them to achieve good and expected quality performance.
- Stretching beyond assigned duties when needed for smooth business operations.
- Managed high call volumes effectively, addressing inquiries promptly and reducing wait times.
- Balancing workload efficiently by prioritizing tasks based on urgency or importance.
- Resolved customer issues efficiently, resulting in positive feedback and increased loyalty.
- Issued credit or full refund for customer returns and reported on product defects or damages resulting from shipping process.
Customer Representative
Wipro Spectramind Ltd.
10.2003 - 09.2004
- Worked as customer care representative, handling inbound calls regarding reservation of Airline making reservation of passengers sending them confirmation through Email & Fax working in shifts accepting special requests from the passengers regarding the needs and requirements & forwarding it to right queue.
- (Process Delta Airlines)
Customer Executive
Reliance Infostreams Pvt. Ltd.
09.2002 - 10.2003
- Worked as customer care executive handling inbound customer calls working in shifts handling all regarding Network & Activation of handsets giving solution to customer queries assisting Team Leader in managing the workplace & making daily reports.
- (since Sep 2002 to Oct 2003)
Car Rental Manager
Orix Auto Finance Ltd (IL & FS)
06.1998 - 03.2002
- Working in shifts handling inbound & outbound customer accepting bookings for up countries sending conformation to client providing response & competent telephone Email support to all customer for booking & their grievances troubleshooting to maintain customer satisfaction according the current levels of measurement in mature & professional manner towards customer needs.
- [CAR RENTAL SERVICE DEALING WITH CORPORATE]
- Provided management with daily log report on calls, complaints, resolutions, order statuses, and escalations.
- Responding empathetically to customers' concerns during difficult situations while offering appropriate solutions.
- Recommended items to customers based on specific needs and explained features and benefits.
- Assisted with price verifications and implemented adjustments for discounts or promotions.
- Exceeded daily KPIs through exceptional communication skills and proactive problem-solving abilities.
- Implemented department asset protection procedures that identified and minimized profit loss .
- Reviewed reservation data regularly to forecast demand accurately and make informed decisions about fleet allocation adjustments accordingly.
- Increased repeat business by fostering positive customer experiences through attentive service and follow-up communications.
- Participating actively in team meetings sharing insights that contribute to continuous improvement efforts.
Education
MBA - Operations
ITM Group of Institutions
01.2012
B.A. - Political Science
Mumbai University
01.1998
Skills
Comprehensive document evaluation
Interests
Surfing the net, Swimming, Reading & Traveling
Outdoor & Indoor Games , Gymnasium
Certification
Certificate Course In Digital Banking
Timeline
Investment Analysis and Portfolio Management
05-2025
Compliance Manager
TATA CONSULTANCY SERVICES
12.2008 - Current
SR. Travel Co-Ordinater
JR TECHNOLOGIES (SKYBIRD TRAVEL)
11.2007 - 12.2008
Recruitment Administrator
Accenture
12.2006 - 11.2007
Customer Associate
W.N.S TRAVELOCITY.COM
09.2004 - 12.2006
Customer Representative
Wipro Spectramind Ltd.
10.2003 - 09.2004
Customer Executive
Reliance Infostreams Pvt. Ltd.
09.2002 - 10.2003
Car Rental Manager
Orix Auto Finance Ltd (IL & FS)
06.1998 - 03.2002
B.A. - Political Science
Mumbai University
MBA - Operations
ITM Group of Institutions
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