Headline

Risk & Controls Testing Leader | 15+ Years in Compliance & First Line Risk Management | AVP at MUFG Global Services

About

A versatile Banking & Financial Services Compliance Assistant Manager offering more than 15+ years’ of progressive career development and expertise in Financial Services Domain, pertaining to Regulatory Compliance Management, Compliance Testing & Monitoring, Operational Risk, Third Party Risk & Vendor Management, Audit Scoping & Planning, Conducting Due Diligence, Validation and Quality Control. Exceptional skill in interpreting and summarizing regulations to drive organization-wide compliance. Advanced knowledge of regulatory compliance with proven track record of partnering with executives and business leaders to identify vulnerabilities and create corrective actions. Interested to accept challenging and new opportunities with a growing enterprise.

Location

Bengaluru

AI stack

claude code

perplexity

Agno

Microsoft Copilot

TruLens

Work experience

Assistant Vice President at MUFG, Feb 2023 - Present · 3 yrs 8 mos, • Led a team in first line control testing, overseeing day-to-day testing activities, reviewing control effectiveness, and ensuring timely closure of issues. • Led control testing across business processes to assess whether controls were well designed and operating effectively. • Identified control gaps, documented findings, and tracked remediation actions to strengthen the control framework. • Coordinated with business teams, risk, and compliance to improve the overall control environment. • Ensured testing was completed on time and in line with internal standards and regulatory expectations

Assistant Manager-Compliance Testing at Ocwen Financial Solutions, Dec 2011 - Dec 2022 · 11 yrs 1 mo, Bengaluru, Karnataka, India, * Managed a team of eight people, including a team leader, a senior auditor, and auditors in Mumbai, and Bangalore. * Overseeing day-to-day compliance testing & monitoring of Federal & State Authorities regulations related to TILA, FDCPA, FDPA, FCRA, HPA etc. * Assisting with the development, implementation, and execution of risk-based compliance testing to review and assess the effectiveness of the Business Unit policies, procedures, and controls is in compliance with regulatory guidelines, including developing corrective action plans for gaps identified from testing. * Tracking new regulatory requirements and Internal/regulatory findings to identify any gaps in the testing process, and working to ensure testing groups are evaluating the needs to modify or develop new tests.

Customer Service Executive at Hutchison 3G, Apr 2011 - Oct 2011 · 7 mos, Mumbai, Maharashtra, India

Customer Service Executive (Barclays, UK) at Intelenet Global Services Private Ltd., Jun 2010 - Feb 2011 · 9 mos, Mumbai, Maharashtra, India

Education

Level 1 Qualified, Enterprise Risk Management, Institute of Risk Management

Bachelor of Business Administration (BBA), Business Administration and Management, General, Periyar University

Commercial Pilot, Pilot, Riverside flight centre