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Click here or scroll down to respond to this candidateEXECUTIVE SUMMARY:14 years Financial Service experience including process mapping (SIPOC, FMEA; CTQ; RACI); process documentation (Desktop procedures, SOP and/or Job Aids using Ms Word, Ms Visio, ARIS, Igrafx and Lucid Charts); evaluating Risk and controls in the process. Additional experience with AML KYC, SOX 302 and 404 domains; Designing/updating Risk Control Matrix (RCM) and Risk Control Self-Assessment (RCSA) artifacts including Third Party Risk Assessment, using COBIT methodology for framingEDUCATION and CERTIFICATIONS:1.Bachelors in Accounting and Finance (Delhi University, India)2.Masters in Political Science (CCS University, India)3.HIPAA Certified Professional (HCP)4.Scrum Master Certified (CSM) from Scrum Study (Pending Renewal)5.Certified Info-mapping professional (IMP) from Info-mapping Inc. - USA6.Certified Quality Management Systems (QMS) Internal Auditor from DNV7.Certified Prince2 (Foundation and Practitioner) Specialist UK (Retired)8.Certification in Lean Awareness (In House Training)EXPERIENCE:Worked with Navy Federal Credit Union as Controls Analyst, Remote from May Sept 2022Worked with ISD team. Role involved:Creating process maps and reviewing already created maps in Ms VisioDocumenting Control Evidences for IT Team using COBIT Methodology as baseUpdating status in JIRAShared status update with stakeholders in Sprint Daily Standup sessionEnsured artifacts to comply with Audit and Regulatory changesWorked with Protiviti/Robert Half Financial Service Consultant Remote -08/21 till 01/22Worked with Operations team for a local bank based in Texas. Role involved:Documenting As Is process maps in Ms-Visio for different LOBsSharing Status Update with stakeholdersEnsure artifacts to comply with Audit and Regulatory changesPerform quality check on the work done by team members who created and/or updated Process Maps; SIPOCImparted training on designing RACI and creating SIPOC to team membersPromontory Mortgagepath- Process Mapping Analyst, Remote 01/21 till 2/21Worked with Operations team. Role involved:Documenting As Is process maps in (Lucid chart) for different business areas (Loan Cycle, Operations, Lock Desk, Disclosure Desk, AML, Fraud Review, Underwriting, HR and Marketing)Shared Status Update with stakeholders on a weekly basisEnsured artifacts comply with Audit and Regulatory changesCapital One- Process Documentation Lead (Contractor), McLean, VA 01/20 till 12/20Worked with Capital Market Operations team. Role involved:Documenting To Be Processes for Derivatives area (Regulatory Onboarding; Middle Office and Back Office) including Process Flows/Maps; SIPOC; RACI/RCSA; CTQ; FEMA and Procedures).Sharing Status update with stakeholdersEnsured artifacts to comply with Audit and Regulatory changes.Worked on an Integration project for Collections area. CapOne had acquired Collections Business in Maine. Role involved:Phase 1Identifying scope of activities including systems used, Reports generatedDocumenting As Is ProcessesIdentify Risk or gaps involved in current state activities including Third-party risk assessments (information security, privacy, business continuity, disaster recovery, reputational and financial)Suggesting remedial controls where applicableSharing Status Update with stakeholdersPhase IIIdentify activities to be integrated with Capital One systemUnderstanding cost with this transformation (Technology, Operational)Document To Be processesProvide training or download to Operational team where neededCapital One-Contractor - McLean, VA; Bethesda, MD; New York, NYProcess Analyst III - Analysis and Process Transformation 05/2015 08/31/19Role Involved:Understanding scope of engagement from business stakeholdersWork with business to create and/or updated artifacts as required (Process Flows/Maps; SIPOC; RACI/RCSA CTQ; FMEA and Procedures). Process Maps were created both in Ms Visio and Igrafx. Areas included Escrow, Agency Finance, Syndication, LoC, Treasury Marketing, HFS, loan operations.Ensure artifacts to comply with Audit and Regulatory changes.Imparting training to team members on execution of work where neededHelping Team in updating Risk and Controls in PRIME Note: All of this effort was done keeping in mind First and Second Line of Defense.Perform quality check on the work done by team members who created and/or updated Process Maps; SIPOC; RACI; CTQ; FMEA and Procedures to comply with Audit and Regulatory changes.Exl Sevice.com; Worldwide Locations - 01/2005 03/2014Citi BankContractor- Schaumburg, IL and Wilmington DE, Project Lead Risk Analysis 08/2013 03/2014. Role involved:Assisting client in finalizing the scope of engagement/workLead and conducted an internal review process from an Audit and Compliance prospective.Responsible for training a team of five membersDocumented RCSA for various business process. Defined and standardized steps and sequence and validated RACI with stakeholders)Performed quality review of teams deliverable (SIPOC and process flow/maps) to ensure deliverable meetregulators requirements (CCAR; MCA, Oversight & Controls and Acquisition Policy Documentation)Highlighted Risks and/or gaps in process maps. Note: All of this effort was done keeping in mind First and Second Line of DefenseSuggested Remedial Controls for mitigating existing risks or gapsCoordinated with Audit and Operational units for preparing and maintaining audit file or folders and uploading them to the Share pointAIG Insurance-Contractor - Albany, NY; Phoenix AZ and San Diego, 05/2013 06/2013. Claims and Retirement plans/401K process documentation project. Role Involved:Gathered requirements, created As-Is process documents including process maps, SIPOC, User Manuals.Assisted in the business process redesign and documentation. Documentation used; to train Offshore team; for business continuity and; to support risk assessments.Defined Quality Guidelines for documentationTrained team members on defined quality parametersResponsible for uploading maps and documents into Share pointCiti BankContractor, Hagerstown, MD Project Lead Risk Analysis 09/2012 01/2013Role involved:Created SIPOC and Process Maps in accordance with Internal project requirementsDefined and standardized steps and sequence involved in different processes using RACI. Validated RACI with business process stakeholdersEnsured process flows/maps are developed in accordance with program specificationsIdentified and communicated process improvement areas to business process stakeholdersResponsible for uploading process flow/maps and document in Share pointWolters Kluwer Contractor, New York - Process Improvement Specialist06/2012 09/2012. Role involved:Performed analysis and evaluation of user business issuesCreated work stream process manual and process flows/mapsCreated and performed Cost Benefit AnalysisProvided business process improvement recommendations to improve business process efficacies.British GasContractor, Windsor UK, Documentation Lead 02/2012 03/20129. Role involved:Gathered requirements and developed User Manuals per specifications. Systems involved were SAP and Siebel.Creating (As Is) Process Maps using ARIS for Operational area. These maps were used by the client for process training and business continuity.AIG Insurance-Contractor, New York and Croydon, United Kingdom, Compliance Analyst07/2011 1/2012. This was a Basel III compliance project with revenues in excess of US $12 billion. Role Involved:Performed review and identified all work-streams in scope and governed by the project charterDid Risk Assessment for a Third Party (use of software built by the third party)Created business process flow maps for assigned work streams and uploaded document to SharePointUtilized AIG standard operating procedure in the submission of documents; Interview key business contact/ owner & assess level of access required for different profiles (Edit rights, Read-access rights, etc.)British Gas Contractor, Leister, United Kingdom, Senior Team Member - 02/2011 06/2011. Role involved:Project to create training documentation for the claims process.Gathered requirement; created as-is process documents including process maps (MS-Visio and IRIS) |
