EXECUTIVE SUMMARY:

** ***** ********* ******* ********** 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 framing

EDUCATION 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. - USA

6.Certified Quality Management Systems (QMS) Internal Auditor from DNV

7.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 2022

Worked with ISD team. Role involved:

Creating process maps and reviewing already created maps in Ms Visio

Documenting Control Evidences for IT Team using COBIT Methodology as base

Updating status in JIRA

Shared status update with stakeholders in Sprint Daily Standup session

Ensured artifacts to comply with Audit and Regulatory changes

Worked with Protiviti/Robert Half – Financial Service Consultant Remote -08/21 till 01/22

Worked with Operations team for a local bank based in Texas. Role involved:

Documenting As Is process maps in Ms-Visio for different LOBs

Sharing Status Update with stakeholders

Ensure artifacts to comply with Audit and Regulatory changes

Perform quality check on the work done by team members who created and/or updated Process Maps; SIPOC

Imparted training on designing RACI and creating SIPOC to team members

Promontory Mortgagepath- Process Mapping Analyst, Remote – 01/21 till 2/21

Worked 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 basis

Ensured artifacts comply with Audit and Regulatory changes

Capital One- Process Documentation Lead (Contractor), McLean, VA – 01/20 till 12/20

Worked 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 stakeholders

Ensured 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 1

Identifying scope of activities including systems used, Reports generated

Documenting As Is Processes

Identify 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 applicable

Sharing Status Update with stakeholders

Phase II

Identify activities to be integrated with Capital One system

Understanding cost with this transformation (Technology, Operational)

Document To Be processes

Provide training or download to Operational team where needed

Capital One-Contractor - McLean, VA; Bethesda, MD; New York, NY

Process Analyst III - Analysis and Process Transformation 05/2015 – 08/31/19

Role Involved:

Understanding scope of engagement from business stakeholders

Work 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 needed

Helping 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 – 03/2014

Citi Bank–Contractor- Schaumburg, IL and Wilmington DE, Project Lead – Risk Analysis 08/2013 – 03/2014. Role involved:

Assisting client in finalizing the scope of engagement/work

Lead and conducted an internal review process from an Audit and Compliance prospective.

Responsible for training a team of five members

Documented 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 meet

regulators 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 Defense

Suggested Remedial Controls for mitigating existing risks or gaps

Coordinated with Audit and Operational units for preparing and maintaining audit file or folders and uploading them to the Share point

AIG 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 documentation

Trained team members on defined quality parameters

Responsible for uploading maps and documents into Share point

Citi Bank–Contractor, Hagerstown, MD Project Lead – Risk Analysis 09/2012 – 01/2013

Role involved:

Created SIPOC and Process Maps in accordance with Internal project requirements

Defined and standardized steps and sequence involved in different processes using RACI. Validated RACI with business process stakeholders

Ensured process flows/maps are developed in accordance with program specifications

Identified and communicated process improvement areas to business process stakeholders

Responsible for uploading process flow/maps and document in Share point

Wolters Kluwer –Contractor, New York - Process Improvement Specialist

06/2012 – 09/2012. Role involved:

Performed analysis and evaluation of user business issues

Created work stream process manual and process flows/maps

Created and performed Cost Benefit Analysis

Provided business process improvement recommendations to improve business process efficacies.

British Gas–Contractor, 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 Analyst

07/2011 – 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 charter

Did 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 SharePoint

Utilized 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)

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