Compliance Analyst

Asha Gupta

Phone: 440-***-**** (Phoenix, AZ) E-mail: *****.******@*****.***

PROFESSIONAL SUMMARY

●3+ years of professional IT experience as Compliance Analyst, Senior Enrollment Analyst in Finance and HealthCare domains

●QA reviewer for Health Information Casework System (HICS) project

●Professional work experience with large companies such as Cognizant Technology Solutions, Discover Financial Service, American Express, and Capco

●Versatile team player with excellent communication, analytical and interpersonal skills

●Ability to meet deadlines, handle pressure, co-ordinate multiple tasks in a project environment

●Highly skilled in Microsoft Office, Microsoft Visio, Windows, Peachtree, UMV, Softheon, ERR form, Prime,Omni, CarveOut, Pre-Audit, Qs, CVS Health, Amisys, QuickBooks, Cognos, Splunk, Magic, Java, CADENCE, BRIDGER, CLEAR, Dow Jones, MS3, IVU, MAINFRAME, SNAGIT, Sales Force, Database Management, PDF and Internet.

EMPLOYMENT HISTORY

CLIENT: Capco Feb 2020-aug 2020

ROLE: Compliance Analyst/Business Consultant/ QA

Roles and Responsibilities:

●Lookback Remediation Project for a large financial institution to ensure compliance with federal and state consumer protection laws and regulation.

●Conduct regulatory analysis and forensic loan file reviews

●Execute new compliance policies and procedures as required

●Prepare reports by collecting, analyzing and summarizing information

CLIENT: American express MAY 2019–DEC2019

ROLE: Finance Crimes Compliance Specialist/Business Analyst

Roles and Responsibilities:

●Work in the Financial Intelligence Unit, conduct screen analysis of existing accounts with sanctioned Persons and Entities and Politically Exposed Persons, ensuring American Express adheres to international regulations including the Bank Secrecy Act, the USA PATRIOT Act and the Foreign Corrupt Practices Act

●Perform enhanced due diligence research and keen attention to detail in investigation, analysis and documentation of critical relationships requiring; analytical and problem-solving skills, computer and internet research, and the ability to manage multiple and varied projects simultaneously

●Collaborate with lines of business and market compliance teams Qualifications

●Exceed or met daily file quota manded by management

●Worked on over 15 banking system daily to complete investigations

CLIENT: DISCOVER FINANCIAL SERVICES Aug 2018 -MAY 2019

ROLE: DCX-Data Analyst

Roles and Responsibilities:

●Ensure the accuracy of the data the company has related to its merchants, support related products and manage related vendors.

●Review and validate merchant data and make corrections to data when needed.

●Locate merchant URL and Customer Support Phone number for Recurring Billing.

●Systems used while completing tasks: Excel, MAGIC, Hydra, Cognos.

CLIENT: Cognizant technology solutions Sept 2017-May 2018

ROLE: Senior Enrollment Analyst (HICS – Health Information Casework System)

Roles and Responsibilities:

●Perform analysis and interpretation of member enrollment data

●Maintain data integrity of member enrollment records transmitted from each Marketplace

●Research and resolve membership discrepancies within various systems and state web portals

●Complete manual corrections ensuring synchronization with internal systems, including merging and voiding member records

●Work on complex error queues to resolve the anomalies and redirect subscriber, member, and member enrollment folders back to normal workflow

●Function as liaison between Marketplace and the member by reviewing, investigating, and resolving member inquiries regarding HICS in accordance with the internal company guidelines and CMS standards

●Process Bad Debts, refunds, payment transfers, claims transfers, claim recoupments, terminations/cancellations, reinstatements, appeals and re-enrollments

●Ensure that data flows accurately downstream and is synchronized in all related applications

●Quality review and follow-up of resolved cases

CLIENT: Department of the treasury internal revenue service 2012 and 2011 tax session

ROLE: Tax Preparer

Roles and Responsibilities:

●Work as a volunteer for Income Tax Assistant and Tax Counseling Programs in Cleveland

●Prepare tax return to keep customers from paying unnecessary taxes

●Analyze and verify tax forms, ensuring 100% accuracy of documents

●Enter data into computer system, perform mathematical operations, and submit forms to reviewer for final submission to appropriate government offices

●Initial point of contact to welcome and direct all tax filers coming into the office

●Provide tax filers assistance in a friendly and positive manner, ensuring they felt comfortable and welcomed

●Distribute information to tax filers, including necessary tax forms and general information

Education

Associate Degree in Business Administration – Accounting

Cuyahoga Community College – Parma, Ohio

Certification and Training

Automation and Testing

Selenium IDE, Automation Testing, Integration Testing, Database Testing, Web Application Testing, Scrum Agile, Eclips, Waterfall, Selenium Web drive, Bug Life Cycle

CAPCO and Consumer Financial Protection Bureau trainings:

2020 Information security: Insider Thread Overview; Security Essentials; Email Security

Basic Loan Compliance, Auto loans, Bank accounts and services, Credit cards, Credit reports and scores, Fraud and scams, Money transfers, Mortgages, Savings and Student Loan

Best Practices in Compliance Management Systems,

Coronavirus, Fair Lending and the Community Reinvestment Act

Deceptive or Abusing Acts or Practices (UDAAP) and Servicemembers Civil Relief Act (SCRA)

The ABC’s of Military Consumer Protection

Introduction to the Bank Secrecy Act

Global Anti Money Laundering and Money Laundering (AML, MLA)

Volunteer Income Tax Assistance (VITA) and Tax Counseling for the Elderly (TCE)

●Standard of Conduct 2012

●Basic and Intermediate Exam 2011 – 2012

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