Neeraj Gupta

CEO

Gurgaon, Haryana, India24 yrs 10 mos experience

Most Likely To SwitchHighly Stable

Key Highlights

30+ years in compliance and operational risk leadership.
Expert in regulatory governance and enterprise risk management.
Proven track record in managing large, complex financial environments.

Stackforce AI infers this person is a seasoned leader in Fintech and IT Services with a focus on compliance and operational risk management.

Contact

Skills

Core Skills

Regulatory ComplianceOperational Risk ManagementIt Service ManagementInfrastructure Management

Other Skills

Cyber Risk ManagementData PrivacyRisk and Control AssessmentsCloud SecurityInfrastructureIT InfrastructureTechnology GovernanceControl FrameworkIT AuditSoftware as a Service (SaaS)Mobile Application DevelopmentPayment Card Industry Data Security Standard (PCI DSS)Third Party Vendor ManagementIT StrategyOutsourcing

About

Senior Compliance and Operational Risk leader with 30+ years of experience across large, complex financial institutions, including Bank of America, specializing in 2nd Line of Defense (2LoD) oversight, regulatory governance, and enterprise risk management. I bring deep expertise in providing credible independent challenge to front-line units and control functions, strengthening control environments, and ensuring alignment with enterprise risk appetite, regulatory expectations, and global standards across multi-jurisdictional operations. My experience spans: 👉Enterprise operational risk oversight 👉Regulatory compliance &. governance 👉Risk and control assessments (RCSA) 👉Issue management, root cause analysis, and sustainable remediation 👉Digital Personal Data Protection Act (DPDPA), India – oversight and compliance

Experience

Bank of america

2 roles

Senior Compliance & Operational Risk Leader (SVP) | 2nd Line of Defence

Promoted

Jul 2019 – Present · 6 yrs 8 mos

Serve as 2nd Line of Defense Compliance & Operational Risk Officer, providing independent oversight and effective challenge across multiple Lines of Business.
Oversee complex environments covering 30,000+ employees, 20,000+ contractors, 5 cities, and APAC & AMRS jurisdictions.
Execute enterprise change risk governance, conducting 70+ independent control tests annually across process, technology, regulatory, and operational risks.
Assess design and operating effectiveness of controls, identifying residual risk and emerging issues aligned to enterprise risk appetite.
Lead root cause analysis (RCA) for audit findings, operational loss events, and compliance breaches; validate sustainable issue closure.
Provide governance oversight for DPDPA compliance, including:
Data fiduciary obligations and accountability models
Consent management, purpose limitation, and data minimization
Personal data breach identification, escalation, and reporting
Creation and maintenance of Record of Processing Activities (ROPA)
Partner with business, technology, and legal teams to embed privacy-by-design and risk-by-design into initiatives.
Support regulatory exams and audits through management responses, remediation tracking, and executive reporting.
Prepare and present thematic risk insights and trends to senior management and governance forums.
Lead and mentor large cross-functional teams supporting regulatory preparedness and enterprise risk initiatives.

Cyber Risk ManagementRegulatory ComplianceOperational Risk Management

Vice President Technology - Technology Infrastructure and Application Management

Jun 2008 – Jul 2019 · 11 yrs 1 mo

IT Service Management with over 25 + years of experience, in large MNCs. in diverse sectors like insurance, Banking and BPO/ IT Enabled Services.
Progressive hands-on experience managing IT Infrastructure in a multi-site global compliance-based medium or large size company.
Assess current and anticipated business needs related to technology ranging from DC, servers, hardware & network components, Security appliances to general IT applications that will meet the demands of a business leader.
Provide deep technical hands-on leadership, management, optimization, and development of a globally distributed team of highly skilled infrastructure professionals to deliver outstanding technical excellence, customer service, and timely response across all business units.
Track record for solving business problems using innovative technologies with judgment decisions in stressful situations.
Strong project management experience, especially with rollouts and technology proof-of-concept (POC) initiatives and corporate integrations.

Cloud SecurityInfrastructureIT Service ManagementInfrastructure Management

Soma networks

General Manager - IT

Aug 2007 – Jun 2008 · 10 mos · Gurgaon, India

Responsible for IT Infrastructure across North America, Asia and Africa.
Global lead( North America, Africa and APAC) IT Service Management functions including but not limited to Change Management, Backup Management, Problem Management, Incident Management, IT Helpdesk Management, SLA Management, IT Cost Management, Vendor Management, IT-Security Management.
Responsible for setting up of technology infrastructure for Wi-Max sites and also the R&D labs and datacenter.
Setting up of centralized NoC and managing the operations for Wi-Max sites setup across various regions in North America and India.

Max life insurance company limited

Assistant Vice President

Jun 2006 – Aug 2007 · 1 yr 2 mos

Responsible for the implementation and maintenance of IT infrastructure including WAN, Security, infrastructure supporting Business applications like ( Ingenium, MyFlow etc.) , Technology helpdesk and end user support for processing center and 100+ branches.

Genpact

IT Manager

Jun 2001 – Jun 2006 · 5 yrs

Capacity Planning and capacity management for IT for GENPACT INDIA. (Gurgaon, Hyderabad, Bangalore, Jaipur and Kolkata).
Structured Cabling, UPS and generator standards, capacity and loading, ensuring the capacity is optimized and implemented as per the standards for new build outs.
Designing of overall IT design for any new transition.
Maintaining and implementation of SLA (Service level Agreements) and AMC with all vendors and Telecom Service providers. (VSNL, Bharti, Reliance, AT&T, MCI Telstra etc.)