Managing the SoX and Internal Audit

1) Performed review of design and operative effectiveness of controls.2) Review of scoping of Significant Financial applications as part of ITGC SOX reviews.3) Performed walkthrough and review of IT General Controls to assess the design & operative effectiveness of controls.4) Areas of SOX testing as part of ITGC includes Access Management, Change Management and overall impact assessment.5) Review of SOP’s including documentation of test plan and risk assessment & mitigation.6) Areas covered include finance reporting, asset and wealth management, cross border transactions, vendor assessment and various other reporting requirements.7) Additional areas of compliance reviews include employee surveillance and cross border transactions8) Performed Non-SOX controls review and managed the audit program end to end in terms of scoping, planning, testing, remediation and reporting9) Area covered in operations audit include transaction processing, sourcing, BCP, compliance and vendor sourcing.10) Managed end to end Global Balance Sheet Reporting process which is consumed by regulatory reporting teams (LCR, LRD and Liquidity and Funding teams)11) Key areas managed include data management, accuracy of reporting, compliance with policies and procedures, governance and KPI / KRI management.12) Managed Senior Stake holders with focus on quality of reporting, resolution of is-sues and compliance with IFRS 9 reporting standards.13) SOX Compliance of processes with NIL audit observations for more than three years.14) Successfully implemented Finance Excellence projects – Reporting Tool (Micro strategy) Currency Change over, Reporting Restructure

Performing SOX Testing and Audits

I) SOX Compliance Reviews :Performing detailed assessment of business policies, processes and procedures to ensure that they meet SOX requirement.Review of business process and identification and evaluation of key risks and identification of controls Testing and validation of controls along with appropriate documentation to ensure that they meet the SOX documentation and testing requirements. Worked towards implementation of Controls with focus on GRC, SOX Compliance and respective industry framework of controlsII) Oracle GRC Implementation :AACG Implementation includes creation of entitlements and Models and detailed testing of incident reports, performing analysis and removal of false positivesConfiguration of global conditions and global path conditions to ensure that controls meet the business requirements.Implementing configuration controls in CCG viz..Snapshots, comparison, change tracking and queries and alertsPerforming risk analysis and Creation of fraud analytics models in TCG addressing the key risks perceived by the organization and investigation of high risk transactionsImplementation of Form Rules, Flow Rules, Audit Rules by performing detailed business requirement gathering and feasibility analysis considering the features available in PCG models. Key Achievements:a) Incremental fee of 55 K USD in Oracle GRC engagement. This was achieved through providing POC to client on the detailed remediation plan in the SOD conflicts and securing the additional workb) Effectively resolved the internal team issue wherein on the junior team member expressed dissatisfaction over the work allocated. Had discussion with him and convinced that his contribution is equally important on the overall completion of projectc) Received Outstanding contribution to the team award, most valuable player award, certificate of appreciation and Holiday Bonus Award (Letter of Appreciation from MD and CEO)

Joined in the Systems and Process Assurance (SPA) team as an Associate in June 2008Performed substantive audits as part of agreed upon procedures which included areas like fixed assets additions , disposals, depreciations, reconciliations, IFRS / GAAP adjustments, accounts payables, ascertaining the unrecorded liabilities for period end closures, intercompany reconciliations, consolidation of accounts, treasury accounting etc Have been involved in performing IT General Controls Reviews, Operating Systems, Databases and Business Process Controls reviewes in ERPs like SAP & Peoplesoft Performed process reviews to assess the design of internal controls over financial reporting in accordance with the section 404 of Sarbanes Oxley Act of 2002. Involved in Financial and Integrated Audit and possess hands on experience and knowledge in PwC’s integrated audit methodology.Performed understanding for various business processes including Purchase to Payables, Revenue & Receivables, Inventory, HR & Payroll, Fixed Assets, Treasury Management etc from an risk based audit approach and identified potential risks impacting the financial statementsAs a team in-charge/team member, responsible for audit support work as part of statutory reporting assignments for different assurance clients . Key areas of experience ranges from IT Process Audit, Financial Applications Audit , Database Audit, OS Audit . Recently been trained in SAP ITGC and business process controls reviews as part of annual knowledge enhancement training programProficient in using the ACL tool for analyzing the financial data Viz...Large Number of Manual Journal Entries, Sales, Debtors etc..Portfolio of clients include : Clients listed in India and USKey responsibilities include :- SOX controls reviews- ITGC- Automated Controls review for ERP's like SAP and PeopleSoft- Integration of IT audit risks with the financial audit.Promoted to Assistant Manager in April 2010

Three years articled assistant in PS Rander & Co., Chartered Accountant.Thereafter worked as Audit Incharge from August 2004 to August 2005Passed my CA Final Examination in August 2005 and there after worked in Telecom sector for 2 years and 9 months in the areas of Financial Accounting and Internal Audit