Rosy Upadhyay

• Managed IT applications risk assessments to proactively identify and mitigate risks throughout the design and implementation phases
• Responsible for ensuring IT quality standards are upheld while gathering and analyzing artifacts while conducting monthly control maturity assessments
• Fostered collaboration and cohesion among various IT teams/divisions to promote synergy and efficiency
• Monitored and analyzed changes relevant to regulations and industry trends, assessing their potential impact on IT compliance and proactively implementing necessary adjustments to maintain compliance
• Acted as a liaison with stakeholders, representing the organization's IT compliance interests and facilitated communication and information exchange
• Participated in SOC1 audits
• Also performed yearly and monthly privileged access reviews for databases, servers, and operating systems
• Contributed to the recruitment process by reviewing resumes and participating in interviews to identify qualified team members
• Reviewed Disaster Recovery reports to confirm critical applications have met their RPOs and RTOs
• Reviewed and updated departmental policies, SOPs, and user guides
• Created user guides for new processes
• Leveraged Citco-specific knowledge to train and onboard new team members, ensuring smooth integration and alignment with organizational goals.

KEY ACHIEVEMENTS
• Served as a subject matter expert on risk assessments and provided guidance and support to cross-functional teams and senior management in relevant IT controls, assessing their effectiveness on risk mitigation.
• Enlisted in newly formed operational excellence team within the company that was responsible for improving the efficiency of IT applications to reduce incidents and find any gaps.
• Assisted in creating content and developing user guides for 1st line of defense team and application owners.
• Assisted in recruiting over 70% of current team members in my department and was actively involved in knowledge transfer to all 7 team members, including the manager.

• Administered trend analysis and problem reviews using control testing, internal audit, risk management, security reviews, and provided necessary recommendations for prevention and improvement
• Managed due diligence questionnaires, information requests, and proposal submissions by prospective clients adhering to company policies to mitigate reputation and security risks
• Identified action items, recorded them appropriately, and ensured that they were completed in a timely manner
• Partnered with OCM project managers regarding improvement, development, and implementation of regulatory impact remediation and control improvement projects
• Participated in internal/external audits and acted as liaison for IT teams and divisions during audit process
• Ensured process accuracy by supporting orderly cycle of policy and procedure reviews
• Collected Operational and Design artifacts for control testing and IT applications risk assessments
• Took additional workload when team members exited
• Performed monthly and yearly privileged access review.

KEY ACHIEVEMENTS
• Received operational excellence in performance reviews and promoted to senior level.
• Continued to be Subject Matter Expertise to previous team and even assisted them for week when natural disaster hit Manila team.
• Participated and mapped 80% of Cobit 5 controls to newly developed in-house IT Key Control Framework (ITKCF).
• Assisted in migrating manual tracking process to Jira tracking and monitoring of control maturity assessments and IT application risk assessments. This task improved productivity by 50% by not sending emails to control owners and constantly following up (when necessary) as well as Jira process was more transparent and trackable.

• Supported company’s internal and external users globally as first line of contact with administrative and technical issues relating to vendor-supplied applications (AEXEO)
• Provided basic troubleshooting, provided access, sought approval, and administered financial service tools
• Tracked work through ITIL model ticketing system for audit purposes
• Accessed appropriate workflow and severity for inbound work
• Monitored and managed clients’ trade and price files, broker data, and client extracts
• Prepared status reports and various other help desk reports as needed
• Participated in DR testing and Smoke tests
• Participated in QA testing and provided feedback to QA testers to create procedural documents.

KEY ACHIEVEMENTS
• Cross trained for IT compliance role by shadowing Senior IT compliance analyst in different department. Attained acquired knowledge and applied job opening and transitioned successfully into IT compliance analyst role.

• Provided ongoing support for a wide range of applications, including Active Directory Query Tool, Automated Password System Admin, BCS, Business Banking Application Support, EPBOS (UAM & EPIC resets), MART, MYED (Remote Login, Novell iManager, Store Vision Platform, TeamWorks, VERID, WebRH (Point Sec), and WSAT
• Assumed responsibility for reviewing documented resolutions and conducted trend analysis to identify recurring issues and recommended preventive measures to reduce future incidents
• Identified and troubleshooted potential server or infrastructure-related issues related to phone banks, collaborated with relevant teams to resolve issues, and participated in root causes analysis
• Maintained accurate documentation of support activities, including incident reports, resolutions, and preventive measures, to facilitate ongoing analysis and improvement.

KEY ACHIEVEMENTS
• Delivered training, provided mentorship, and shared knowledge and best practices with technical support staff.
• As an expert, I assisted the leadership team in developing disaster recovery planning, testing exercises, and implementation of security processes to ensure business continuity in the event of system failures or disasters.

• Handled up to 100 calls per day, maintaining high level customer satisfaction while following procedures and banking guidelines
• Assisted customers with banking concerns including escalated issues
• Cross selling to new and existing customers to meet sales goals
• Maintained in-depth knowledge through ongoing trainings to service retail consumers
• Provided expertise advise to customers on how to detect fraud on their account, how to access free credit reports and basic financial planning.

KEY ACHIEVEMENTS
• Exceeded production goal every quarter for new accounts. Consistently achieved highest cross sell rate among teams.
• Consistently scored 100% on all incoming calls monitored by quality assurance team.