Sanket Shinde
Pursuing a role in regulatory mapping and compliance testing within U.S. consumer banking, asset management and financial services
- Role
- Dm - Regulatory Compliance (Risk Management & Audit) at WNS
- Location
- Mumbai, MH, IN
- LinkedIn followers
- 500 followers
About Sanket Shinde
Qualified Legal Professional with experience in regulatory mapping and compliance testing…
Experience
Dm - Regulatory Compliance (Risk Management & Audit)
Sep 2023 — Present · Mumbai, IN
Carried out regulatory research and identified law, regulations and compliance requirements applicable to personal banking business in the US.2. Prepared checklists for Federal regulations such as FDCPA, TILA, RESPA, ECOA, GLBA, UDAAPs, FCRA, EFTA, GLBA Safeguard Rule and other alphabet regulations.3. Assisted the team in developing and executing testing scripts to ensure compliance with applicable US consumer banking regulations and state laws and regulations.4. Performed regulatory compliance audits and gap analysis to identify compliance deficiencies.5. Assisted the Quality team in adding regulatory parameters to their QA reviews.6. Led process walkthrough sessions with business teams (including training and quality team) and documented comprehensive business processes.7. Mapped business processes to relevant laws and regulations.8. Assisted business teams in understanding the laws and regulations relevant to their processes and its controls.9. Collaborated with Business, Legal, and Secretarial teams to align global policies with regulatory requirements.10. Designed control systems to deal with violations of any laws, rules and regulations.11. Performed regulatory audits and gap analysis to identify compliance deficiencies.12. Organized employee training sessions to enhance understanding of the laws and regulations relevant to their business processes.13. Identified compliance risks through thorough testing of controls and systems.14. Helped the Risk team design and implement the corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected.15. Drafted audit reports based on the findings and recommended corrective actions.
Education
University of Mumbai
Bachelor of Commerce - BCom
University of Mumbai
Bachelor of Laws - LLB
The Institute of Company Secretaries of India
Company Secretary
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