Trupti Lad
Concord
Summary
Dynamic compliance specialist with extensive experience at Wells Fargo, recognized for enhancing surveillance applications and optimizing processes to meet regulatory standards. Expertise in data mapping and risk analysis, combined with strong leadership skills, has led to significant improvements in alert accuracy and a reduction in false positives, driving operational efficiency in global compliance initiatives. Proficient in SDLC methodologies and data analytics, with a solid background in strategic business planning and operational management. Analytical and problem-solving abilities optimize financial performance and foster growth, complemented by a proven track record of effective leadership and team collaboration to achieve organizational objectives.
Experienced with strategic business planning and operational management. Utilizes analytical and problem-solving skills to optimize financial performance and drive growth. Track record of effective leadership and team collaboration in achieving organizational objectives.
Overview
14
14
years of professional experience
Work History
Assistant vice president (Compliance specialist)
Wells Fargo
09.2024 - Current
- Led end-to-end Business Analyst initiatives for global Compliance Control Room surveillance applications, overseeing requirements, workflows, and process enhancements on the Actimize platform.
- Partnered with Compliance, Legal, and Control Room teams to capture business needs related to MNPI management, restricted lists, watch lists, information-barrier monitoring, and deal-related surveillance.
- Collaborated with technology teams to design and refine Actimize surveillance models, including rule logic, alert thresholds, data validation requirements, and exception-handling workflows.
- Conducted detailed data mapping, gap analysis, and impact assessment across upstream systems (trading platforms, CRM, HR, research portals) to ensure accurate data ingestion into Actimize.
- Executed and coordinated SIT and UAT testing cycles, developing test scenarios, validating alerts, and ensuring successful deployment of Control Room surveillance enhancements.
- Utilized Actimize employee trading surveillance models to detect employee trades in watchlist securities, validating alert accuracy and ensuring timely escalation of high-risk cases.
- Supported global compliance reporting by identifying data quality issues, performing L2/L3 data control checks, and partnering with data engineering teams to resolve systemic data breaks.
- Enhanced employee surveillance scenarios by analyzing behavioral patterns, policy violations, and historical alert trends to strengthen coverage across trading, communications, and MNPI-related risks.
- Designed and refined employee surveillance rules on Actimize, ensuring accurate detection of insider trading indicators, personal account dealing anomalies, and information-barrier breaches.
- Collaborated with Compliance and HR to assess employee risk profiles, refine monitoring parameters, and prioritize high-risk user groups for enhanced surveillance.
- Performed gap assessments on existing employee monitoring use cases and implemented new scenario logic to reduce false positives and improve alert quality.
- Mapped data fields from employee trading systems, broker feeds, HR data, and research platforms to support accurate population of employee surveillance models.
- UAT conducted upgraded employee surveillance scenarios, validating rule logic, thresholds, and alert workflows before global rollout.
- Developed documentation for enhanced scenarios, including rule descriptions, data requirements, test cases, and compliance approvals for audit readiness.
- Enhanced Actimize PAD surveillance by addressing gaps where alerts failed to trigger before or after employee account disclosures, improving detection of potential insider trading and policy breaches.
- Addressed lack of Control Room data visibility for surveillance analysts by designing reporting and dashboard solutions that enabled secure querying of restricted lists, watchlist items, MNPI events, and employee activity.
- Partnered with Compliance and Technology teams to update Actimize surveillance models to include high-grade, high-yield, and other debt products, improving cross-asset insider trading detection capabilities.
- Conducted data mapping and analysis to onboard high-grade, high-yield, and additional fixed-income products into Actimize surveillance feeds, enhancing overall product coverage and risk detection.
Change Implementation Consultant
Dexian Signature Consultants
08.2022 - 08.2024
- Delivering comprehensive support across technology, policy, and procedures, focusing on policy compliance and operational efficiency.
- Collaborating closely with technical teams, I ensure that business requirements are accurately transformed into functional specifications.
- Led initiatives as Business analyst for global compliance control room applications, enhancing global application management and streamlined processes across AMRS, EMEA, APAC regions.
- Improved system functionalities and user experience through defining processes, screen flows, data requirements, and supporting development and testing execution.
- Achieved significant process optimization and efficiency gains by analyzing and implementing enhancements in business processes/procedures.
- Enhanced testing protocols and product reliability by devising and documenting UAT & Regression test plans and test scripts.
- Completed detailed impact analysis for upstream/downstream data flows, identifying and mitigating potential risks.
- Participate in a variety of assigned and ongoing business operations to ensure success in meeting business goals and objectives.
- Constructed intricate project Traceability Matrix, aligning business requirements with technical specifications.
- Identify opportunities for process improvement by conducting root cause testing of all compliance and business metrics.
- Effectively interview and collaborate with end users and SMEs for process analysis.
- Determine areas of strength or Business Execution opportunity within defined scope of work.
- Review and research strategies and action plans to establish effective processes while meeting performance metrics and policy expectations.
- Utilize independent judgment to guide moderate risk deliverables.
- Present recommendations to develop, implement, and monitor strategic approaches, effectiveness of support function, and business performance improvement opportunities for managing risks of the business.
- Exercise independent judgment and provide guidance in diverse support functions and operations for a single business group within a line of business.
- Collaborate and consult with leaders and executive management.
- Identify and manage deliverables from working sessions within structured timelines.
Technical Associate
Tech Mahindra Limited
02.2012 - 01.2015
- Project have different applications like Cramer, canopi, EPADD, CCDB and Infra among these I have worked on EPADD and Infra.
- E-PADD provides an enterprise solution consisting of an Oracle Database and Web Based Front End for capturing the input of the Serving Plan, EDP and NSS spreadsheet information.
- High Level Functionality:
- Creation of a collaborative workspace for the creation, storage and update of Serving Plan, EDP and NSS data.
- Versioning Control
- Ability to generate XLS spreadsheets/PDF files as an output from the tool
- Field level validation where applicable
- Field level & user access control to determine who can update specific information contained within the database
- Ability to generate outputs to downstream systems/workgroups (e.g. CPDMO, Granite, VFO process)
- Auto-Notifications based off user actions/data elements within the system
- High Level Benefits:
- Removes the need for maintaining multiple versions of excel workbooks.
- Simplifies versioning control
- Ensures data consistency among work groups
- Places responsibility on the various spread sheet contributors to ensure their data is correct and to resolve any miss matches.
- Streamlines communication of plan changes
- Handling deployments as per client request on WebLogic servers in respective environments as needed.
- Daily script running needed to update the versions of deployments or any changes as per requirement provided by development team.
- Participated in rehome activities from Infra Team which was daily support with onsite team, monitoring servers and handling issue if any with other team members
- Handling daily crontab activity which ensured that certain files have run as scheduled.
- File upload activity which ensured that as per the scheduled date and time files have been uploaded on mentioned server
- For EPADD application Uploaded daily order tracker on all the environments which helped in maintaining the reports
- Worked on the tickets of EPADD, it was to grant access to users for this application as per their need
- For CCDB application, uploaded file onto shared drive from server on daily basis tracking for its records
- Attending daily status calls with onsite Team lead as well as offshore team
- Mentoring new team members training them, also providing guidance in case of issue or whenever they are stuck.
- Utilized Software Development Life Cycle (SDLC) such as Waterfall to configure and develop processes, standards procedures.
- Delivered all key documentation for the above including Business Case, BRD, FRD, Use cases, Business Rules, Process flows.
- Created and Maintained Project Plans in MS Project and SharePoint Gantt Task List Webpart.
- Worked with User Acceptance Testing UAT, SWOT analysis, Risk Analysis and mitigation plan, Cost benefit analysis, and ROI analysis.
- Developed Test cases and Use Cases and conducted User Acceptance Testing (UAT), Functional System Testing, Integration testing and resolving the various issues.
- Coordinated with the QA team to develop test cases and performed testing using HP QC
- Coordinated with development team to conduct daily scrum meetings and Sprint planning meetings.
- Client # AT&T
Education
Bachelor of Engineering - Computer Science
Padre College of Engineering
India06.2011
Skills
- Methodologies: SDLC, Agile/Scrum, Waterfall
- Documentation: FRD, BRD, SRS
- Project Management Tools: MS Project, MS Excel, MS SharePoint
- Analysis Skills: Cost/benefit analysis, Impact analysis, GAP analysis, Risk analysis, SWOT analysis
- Tracking / Other Skills: Jira, Microsoft Visio, HP Quality Center, JAD, Rational ClearQuest, RTM, UAT
- Soft Skills: Time management, Leadership and management, Problem-solving, Negotiation, Decision-Making, Documentation and Presentation, Verbal communication
- Operating System: Windows, Linux
- Compliance management
- Stakeholder engagement
- Process documentation
- Requirements gathering
- Data mapping
- Gap analysis
- Business planning
- Data analysis
Timeline
Assistant vice president (Compliance specialist)
Wells Fargo
09.2024 - Current
Change Implementation Consultant
Dexian Signature Consultants
08.2022 - 08.2024
Technical Associate
Tech Mahindra Limited
02.2012 - 01.2015
Bachelor of Engineering - Computer Science
Padre College of Engineering