Baljeeth Kaur

About Baljeeth Kaur

Detail-oriented and highly motivated Auditor experienced in executing SOX compliance, IT…

Experience

1. Senior Assistant Vice President

   Wells Fargo

   Aug 2024 — Present · Hyderabad, IN

   Facilitated walkthrough calls with process owners to validate control design and execution, ensuring compliance with regulatory standards and firm policies, procedures, and control activities Executed and monitored internal controls to ensure compliance with key regulatory requirements including FCRA/FACTA, OFAC, BSA, UDAAP, GDPR, Americans with Disabilities Act, APAC data protection and privacy laws, TCPA, and BCHA Regulation Y, mitigating operational and regulatory risks across business units Executed internal control assessments and supported RCSA (Risk and Control Self-Assessment) across multiple lending and finance PODs, including Home Lending, Auto Operations, Cards and Merchant PL, and Retail Services, ensuring control effectiveness, regulatory compliance, and integrity of financial reporting Supported RCSA process by validating inherent and residual risk ratings, control coverage, and compliance with enterprise risk management standards. Participated in control rationalization and risk-based testing initiatives to optimize control coverage, strengthen compliance monitoring, and ensure adherence to enterprise policies, procedures, and regulatory mandates. Conducted risk assessments and root cause analysis (RCA) on regulatory findings, internal audit issues, and emerging compliance risks, leveraging walkthrough narratives and test scripts to evaluate the effectiveness of controls. Collaborated with stakeholders including Risk Management, line of business leaders, control owners, BCM partners, and compliance teams to drive process improvements and implement control automation, enhancing control sustainability, mitigating emerging risks, and strengthening audit and regulatory outcomes. Prepared and presented audit and compliance dashboards, scorecards, and risk reports summarizing control testing results, regulatory findings, risk trends, and key milestones for senior management and governance committees.

Education

• Gowtham Vidyalaya

  SSC

• Sri Sarada Junior and Degree College for Women

  INTERMEDIATE

• Osmania University

  Bachelor’s Degree