Vikas Mane

An accomplished professional with over 12 years of experience specializing in Risk & Control Self-Assessment (RCSA), Process review, Risk & Compliance. Proven expertise in regulatory compliance, team coordination. Skilled in conducting meticulous document processing, data verification, and risk assessments. Committed to ensuring compliance while optimizing operational efficiency through the effective implementation of RCSA methodologies.

Axis My India, Mumbai India PMS Manager, January 2023 – August 2023  Collaborate with various departments and stakeholders, as well as cross-functional teams, to evaluate, design, implement, and monitor internal controls and processes. Perform continuous testing and monitoring of key controls to ensure their effectiveness and adequacy.  Conduct comprehensive evaluations of existing internal controls and processes to identify areas of noncompliance.  Perform ongoing testing and monitoring of key controls to ensure their effectiveness and adequacy. Identify control deficiencies, evaluate their impact, and work with stakeholders to develop remediation plans.  Develop and maintain detailed documentation of control procedures, including flowcharts, narratives, and control matrices.

Prepare periodic reports on the status of compliance efforts, findings, and recommendations for management and external auditors.  Identify areas for improvement and provide recommendations to enhance the control environment.  Stay informed about changes in regulatory requirements and industry best practices. Assess the impact of any changes on existing controls and processes and recommend appropriate adjustments.  Assisted department heads in preparing necessary documentation packages for ISO audits, including SOPs, objective documents, and risk charts.  Assigned and monitored daily tasks to team members, ensuring productivity and performance goals were met.

Ocwen Financial

Solutions, Mumbai, India Senior Auditor, October 2014 to December 2022  Collaborate with business units, to understand process, identify potential risks, enhance existing controls.  Develop/modify Test Scripts and Standard Operating Procedures in alignment with regulatory requirements and business policies.  Led Risk and Control Self-Assessment (RCSA) processes, identifying and managing organizational risks.  Identify process gaps, recommend solutions, and log issues in Process Unity after discussions with Business Units.  Review and address audit appeals sent by BU’s disagreement with QA’s observations.  Maintained risk registers, tracked identified risks and mitigation plans and repot the same to higher management.  Present concise reports on RCSA findings and risk profiles to stakeholders.  Conducted regular reviews of RCSA methodologies, to investigate opportunities for automation of existing controls and providing recommendations for improvement.  Trained team members on RCSA processes and best practices.

SKILLS EXPERIENCE SUMMARY 2  Perform Quality Checks on audits completed by associates.  Provide feedback to analysts based onQC findings andalso conductthe Call Calibration sessionwith business.  Explain service standards, regulations, and work plans to associates to optimize performance.  Prepare weekly and monthly reports for audits performed by Quality Analysts.  Manage day-to-day operations of staff, including personnel, systems, and servicing

Bachelor of Management Studies