Rakesh Naidu
Summary
I am a well-qualified and results-oriented banking professional with over 28 years of successful experience in positions of increasing responsibilities and duties. As a professional in the financial services industry, I have gained management experience in various areas, such as compliance, quality assurance, quality control, and auditing. I have developed, implemented, and monitored internal control processes to ensure the highest level of quality and performance in accordance with regulatory requirements, company policies, and procedures. I am a team player who possesses refined communication skills, including verbal, written, interpersonal, presentation, and rapport building. I am a dependable, thorough, and well-organized professional.
Overview
30
30
years of professional experience
1
1
Certification
Work History
Sr. Manager Retail Delivery Compliance, Audit & QA
BECU
08.2021 - Current
- Provide regulatory and legal risk assessments of compliance issues and concerns and actively work with management and staff to resolve.
- Engage in interactive and ongoing communication with all Business Unit and central Compliance department employees to ensure a high degree of awareness of regulatory compliance requirements.
- Compile and report monthly/quarterly Compliance and QC findings/metrics to management.
- Research, analyze and interpret complex laws, regulations, related commentaries, and data in conjunction with the central Compliance function. Compile, analyze, and present compliance research and make recommendations as appropriate.
- Work closely with the BECU Compliance and Learning departments, as well as with their assigned business unit's management to identify compliance training needs.
- Design and perform quality assurance checks to ensure accuracy in our processes and adherence to policies.
- Provide ongoing coaching, mentoring, and training to develop and encourage employee performance. Assist employees in skill-building and offer guidance in planning for career goals.
- Manage Qflow/Coconut system, review and analyze reports, adjust and level-set service expectations. Manage the schedule accordingly to plan for forecasted volumes.
- Oversaw employee performance, corrected problems, and increased efficiency to maintain productivity targets.
Manager Compliance Administration
BECU
11.2016 - 07.2021
Compliance Administrator
BECU
12.2015 - 10.2016
- Developed and maintained compliance database, tracking all compliance activities and documents.
- Responded to employee inquiries regarding compliance regulations and procedures.
- Maintained up-to-date knowledge of current and emerging compliance regulations.
- Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
Branch Manager
BECU
11.2014 - 11.2015
- Maintained friendly and professional member interactions.
- Assessed employee performance and developed improvement plans.
- Met deadlines by proactively managing individual and team tasks and streamlining processes.
- Engaged employees in business processes with positive motivational techniques.
- Interviewed and hired talented individuals with top-level strengths, improving organizational talent, and skill set.
Branch Manager III
FIRST TECH CREDIT UNION
07.2006 - 11.2014
Branch Manager/Assistant Manager
Watermark Credit Union
06.2001 - 04.2006
Branch Supervisor/Senior Member Service Consultant/Teller
04.1996 - 05.2001
Teller/Banker
First Interstate Bank/Wells Fargo
01.1995 - 04.1996
Skills
- Member Service Relations
- Sales Management
- Branch Management
- Staff Training and Development
- Regulatory Compliance
- Account Management
- Banking Products and Services
- Relationship Building
- Teller Operations
- Existing Business Developments
- Communications
- Management Training
- Performance Monitoring and Evaluation
- Leadership Development
- Process Improvement
- Process and Procedure Development
- Complaint Resolution
- Special Assignments
- Quality Assurance
Certification
- Sangam (SKM) College - GED
- NAFCU Regulatory Compliance School - NCCO
- NAFCU BSA School - NCBSO
- NAFCU Risk Management Seminar – NCRM
- CUNA& ACUIA Internal Audit Certification School - CCUIA
- Integrity Coaching and Integrity Selling
- Deming Management Training, Supervisory Training, and Super IRA Training
Timeline
Sr. Manager Retail Delivery Compliance, Audit & QA
BECU
08.2021 - Current
Manager Compliance Administration
BECU
11.2016 - 07.2021
Compliance Administrator
BECU
12.2015 - 10.2016
Branch Manager
BECU
11.2014 - 11.2015
Branch Manager III
FIRST TECH CREDIT UNION
07.2006 - 11.2014
Branch Manager/Assistant Manager
Watermark Credit Union
06.2001 - 04.2006
Branch Supervisor/Senior Member Service Consultant/Teller
04.1996 - 05.2001
Teller/Banker
First Interstate Bank/Wells Fargo
01.1995 - 04.1996
- Sangam (SKM) College - GED
- NAFCU Regulatory Compliance School - NCCO
- NAFCU BSA School - NCBSO
- NAFCU Risk Management Seminar – NCRM
- CUNA& ACUIA Internal Audit Certification School - CCUIA
- Integrity Coaching and Integrity Selling
- Deming Management Training, Supervisory Training, and Super IRA Training
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