- Plan and perform Risk and Control reviews across areas covering Investment Suitability checks, periodic client reviews etc and developed control monitoring plans to provide comfort to management on existing environment- Provide quantitative and qualitative analysis of Risk and Control reviews to Management and discuss with them to identify potential risk areas by performing deep dives and brainstorm solutions- Effective management of stakeholders and collaboration across the… Show more - Plan and perform Risk and Control reviews across areas covering Investment Suitability checks, periodic client reviews etc and developed control monitoring plans to provide comfort to management on existing environment- Provide quantitative and qualitative analysis of Risk and Control reviews to Management and discuss with them to identify potential risk areas by performing deep dives and brainstorm solutions- Effective management of stakeholders and collaboration across the departments thereby ensuring key risks were clearly understood, appropriately articulated and duly profiled- Support in ad hoc review projects (additional reviews on account of COVID-19 etc) and provide advice to management- Delivered monthly data quality review of issues, incidents, KRI/KPI’s, audit findings including the events highlighted by offshore teams to provide specific knowledge and challenges on remedial action plans- Management of a significant increase (+45%) in issues and incidents without material impact to the control environment Show less

- Performed audit procedures to assess the effectiveness of the Controls across business divisions (Wealth Management, Global Markets, Investment Banking) by reviewing and analysing the available evidence, performing walkthroughs, documenting results and providing recommendations- Identification of potential control gaps in business process and proposing mitigating actions- Assisted in developing risk based model for determining sampling methodology- Aided in system migration… Show more - Performed audit procedures to assess the effectiveness of the Controls across business divisions (Wealth Management, Global Markets, Investment Banking) by reviewing and analysing the available evidence, performing walkthroughs, documenting results and providing recommendations- Identification of potential control gaps in business process and proposing mitigating actions- Assisted in developing risk based model for determining sampling methodology- Aided in system migration ensuring timely communication of requirements, its testing and escalations to management- Awarded Rave bars (tokens of appreciation) by teams across business lines for exceptional performance Show less

- Risk based auditing of Treasury and retail advances of Bank including evaluation of controls environment of the organization and suggesting relevant changes to improve the control environment and mitigate relevant risks- Performed substantive and analytical testing to better determine the focus areas for auditing- Trained and supervised a team of 2-5 people during audits, ensuring they maintain fastidious attention to detail- Worked on Prospectus filing for exchange listing–… Show more - Risk based auditing of Treasury and retail advances of Bank including evaluation of controls environment of the organization and suggesting relevant changes to improve the control environment and mitigate relevant risks- Performed substantive and analytical testing to better determine the focus areas for auditing- Trained and supervised a team of 2-5 people during audits, ensuring they maintain fastidious attention to detail- Worked on Prospectus filing for exchange listing– Restatement of financials and ensuring regulatory compliances- Awarded ‘Exceeds Expectations’ Rating consistently for 3 years (awarded to top performers) Show less

- Designed review and testing template for verification of loan portfolio for regulatory review (APRA) of the Bank’s process for serviceability of loans- Trained team of 6 people for review and supervised their working to ensure high quality of output for review- Discussed observations with Audit Partner and higher ups in management in timely fashion to ensure timely redressal

- Performed Concurrent and Risk Based Internal Audits of Banks, Non-Banking Financial Institutions, Broking Companies and Mutual Funds.- Handled Special Assignments like Information Systems Audit, Outsourcing Audit, KYC Audit etc