Jay Bhatt Email & Phone Number

Toronto, On, Ca

Calgary, Alberta, Ca

I was in process of Migrating to Canada and had resigned from my current job. However, due to Covid-19 Pandemic couldn't migrate to Canada. Meanwhile, my visa had expired and had to wait for almost 8 months for my new visa to travel. During break time, I pursued and cleared CIA from IIA.

Peterborough, London, Gb

• Independently managing end to end business process and entity audits in accordance with the corporate internal audit methodology and IIA standards.• Leading audit planning including walkthrough of business processes, supporting application systems, assessing process risks, identifying the design of controls, preparing and documenting audit programs and testing procedures.• Executing audit fieldwork including designing testing controls and assessing effectiveness, identifying control weakness and root cause analysis, discussing preliminary audit observations with the business unit, impact assessment & developing written summaries of audit findings including recommendations to obtain management concurrence and action plan.• Assisting Internal Audit Leadership team in scoping the internal audit engagement, drafting audit report & reviewing it with the Leadership.• Leading the audit project and first point of contact for the management, presenting audit report to the C levels stakeholders, risk committee and the local board members.• Assisting Internal Audit senior management team in performing Annual Risk Assessment exercise for the audit yearly plan.• Travelled to Hong Kong, Singapore, Australia and United States of America for geo entity specifics audits.• Worked on complex audit like on Anti Money Laundering law (AML), Master Data Management of the organisation, Cash Vault operation and on project audits.

• Independently managing end to end business process audits and audit fieldwork of servicing operations in accordance with corporate internal audit methodology and IIA standards. • Worked on complex audit project likes Foreclosure, Bankruptcy surrounding US laws.• Independently performing validation of Management Action Plan of open audits issus and presenting it to audit senior management in Tollgate meetings for formal closure.• Comprehensive audit documentation in Audit tool “Team Mate”.• Assisting Internal Audit senior management team in performing Annual Risk Assessment exercise for the audit yearly plan.• Actively contributing in identifying opportunities for departmental excellence by delivering training to new hires and giving insight into mortgage industry.

• Understanding business and risk governance framework of the Assets Managements Companies, independently handled two biggest Asset Management Companies of India.• Leading the team for IA projects and performing budget management, including fees overrun, profitability and raising the project invoices with the client.• Audit planning including discussion of audit scope with the client, audit walkthrough and understanding systems and controls in the place.• Technical areas review includes, front office management, fund accounting, revenue assurance on brokerage, review of registrar and transfer agents and review of compliance to various SEBI (equivalent of FCA in India) guidelines.• Conducting risk based audit and discussing preliminary audit observation, understanding root cause for the gap, suggesting audit recommendation for mitigating the risk and helping client in implementing the controls.• Reviewing and giving insight on internal audit function and developing risk assurance matrix for the client.• Drafting the internal audit report and presenting to Audit Risk Committee.

Understanding business and risk governance framework of the Assets Managements Companies, assisting the team in audit planning and field work as required.

Chartered Accountant, T

Certified Internal Auditor, Internal Audit

Cpa

Bachelor Of Commerce (B.Com.)

Education record