Harshitha Salian Email & Phone Number

Mumbai, Maharashtra, India

C&ORC Investment Banking (IB) Mumbai Business Aligned: Compliance officer working as a part of the central team for Supervisory Review Programme (SRP) and Review & Monitoring (RM).• Supervisory Review Programme (SRP): Conducting SRP reviews to assess front-end supervisors understanding of the supervisory principles as laid down internally by UBS and externally by regulators and how they apply them within their role to ensure effectiveness of the supervision.Effective supervision is… Show more C&ORC Investment Banking (IB) Mumbai Business Aligned: Compliance officer working as a part of the central team for Supervisory Review Programme (SRP) and Review & Monitoring (RM).• Supervisory Review Programme (SRP): Conducting SRP reviews to assess front-end supervisors understanding of the supervisory principles as laid down internally by UBS and externally by regulators and how they apply them within their role to ensure effectiveness of the supervision.Effective supervision is key to identifying and mitigating operational, conduct and compliance risk as embedded in line with UBS's key values.• Review Monitoring (RM): Performance of marketing material, pitchbook, sales commentary, 3PDC reviews and ORI. Show less

Mumbai, Maharashtra, India

Risk Advisory - Governance, Risk and Compliance Services (GRCS): Performed internal audit engagements, Internal Financial Control (IFC) reviews, Sarbanes-Oxley (SOX) reviews, building Risk Control Matrix (RCM), narratives and process SOPs in the finance, manufacturing, procure to pay, order to cash, human resource management and fixed asset management areas. Majorly the work involved working with diverse range of people, conducting process walkthroughs, testing controls (TOD & TOE)… Show more Risk Advisory - Governance, Risk and Compliance Services (GRCS): Performed internal audit engagements, Internal Financial Control (IFC) reviews, Sarbanes-Oxley (SOX) reviews, building Risk Control Matrix (RCM), narratives and process SOPs in the finance, manufacturing, procure to pay, order to cash, human resource management and fixed asset management areas. Majorly the work involved working with diverse range of people, conducting process walkthroughs, testing controls (TOD & TOE), drafting reports and improving processes while strengthening the existing controls for the clients.Gained national and international (on-site) experience of working for diverse industry segments such as Pharmaceuticals, Telecom, Hospitality and Manufacturing. Show less

Mumbai, Maharashtra, India

• Auditing & Assurance Engagements: Audits of listed & unlisted private & public companies, timeshare industry, hotels & resorts, banking & insurance companies, schools & manufacturing entities (and have also led some of these engagements for the firm).• Direct & Indirect Taxation: Income tax returns (individuals, companies & partnership firms), income tax assessment scrutiny and transfer pricing, preparation of GST returns and performance of GST audit.

Education record

Education record

Education record