Priyanka Sharma

• Implement and maintain Compliance program for customer servicing, disputes and complaints, data privacy and KYC Refresh processes across UK and European markets
• Ensure business policies, procedures and training material comply to the regulatory requirements and industry standards
• Review and approve customer communications
• Identify compliance risks and collaborate with multiple stakeholders to implement mitigation controls
• Support business teams on project approvals and other day-to-day compliance queries
• Partner with legal and other compliance teams on new regulations and product and service launches
• Support implementation and continuous enhancement of the first line of defence regulatory assurance and monitoring programs
• Support second and third line audits and external exams and work with business partners on action plans
• • Manage a team of 2 Compliance Analysts to support the compliance program

Same responsibilities as current except people leadership

Key Markets: Americas (USA and Canada), APAC (ANZ, India), LAC (Mexico, Argentina)

• Support Compliance office in implementation and monitoring of new or amended regulations
• Review policies and procedures to ensure compliance with federal, state and local regulatory requirements
• Investigate complaints received from customers and regulators to assess infraction of regulatory, company policy and code of conduct requirement, and partner with business to implement action plans
• Partner with business leaders to prepare for external examinations and audits
• Support investigation of compliance risk issues and implementation of effective solutions
• Assist business partners in resolution of complex requests, customer complaints, testing and monitoring challenges, and other operational issues that required compliance intervention.

Project Management and Customer Experience Analytics

• Perform root-cause analysis of Customer Experience performance and presenting opportunities to management with recommendations
• Review new project ideas for procedural feasibility and customer impact
• Create Customer Experience dashboards and performance reviews for senior leadership
• Provide analytical support to performance improvement initiatives implemented by the business leaders

Compliance and Transaction Quality Management

• Perform Quality and Compliance monitoring for the business
• Review customer complaints and ensuring gap closure
• Formulate Quality Monitoring guidelines and process for new migrations and set-ups
• Partner with Compliance and Policies Office to bring synergy in operational objectives and regulatory requirements
• Leverage relationships with other Quality leaders to enhance process capabilities

• Handled requests with friendly, knowledgeable service and support, continually achieving positive customer feedback.
• Offered detailed advice on product and service benefits.
• Offered prompt solutions to maintain customer satisfaction.
• Managed high-volume customer queries simultaneously through effective multitasking.