Neha Agarwal Email & Phone Number

Australia

Australia

Melbourne, Victoria, Australia

Led Vanguard’s Strategy and Enablement division of the Internal Controls team to empower and uplift the role of Line 1 across the business. This included the following-• Developed and implemented a Capability Matrix: Identified business, technical and professional capabilities required in the internal controls team. Identified gaps in current capabilities and devised solutions to bridge the gaps.• Development and deployment of trainings: Developed a learning pathway to uplift controls… Show more Led Vanguard’s Strategy and Enablement division of the Internal Controls team to empower and uplift the role of Line 1 across the business. This included the following-• Developed and implemented a Capability Matrix: Identified business, technical and professional capabilities required in the internal controls team. Identified gaps in current capabilities and devised solutions to bridge the gaps.• Development and deployment of trainings: Developed a learning pathway to uplift controls capabilities. Designed and implemented 2 modules of trainings for roll out across Vanguard Australia on the Fundamentals of Controls Management and targeted training for risk and control owners on Degreed.• Risk and controls dashboards: Developed real-time data driven dashboards in the risk system (Archer) and provided insights on obligations management, risk management, controls health and coverage, controls design and operating effectiveness.• Committee reporting packs: Prepared Internal Control’s update for the risk committee, audit committee and for the Australian executive committees. • Project Management (Financial Crime): Managed a team project to identify and document controls related to AML/CTF across Vanguard. Worked closely with the Financial Crimes Operations team and Financial Crimes Compliance teams to understand relevant processes and ensured compliance with key AUSTRAC obligations and top risks. Project Management - Phase 1: CPS230 Operational Risk Resilience: Led the Critical Process Identification phase of the CPS230 project. Worked extensively with stakeholders across the business to develop methodology, define criticality criterion, catalogue all superannuation processes and assess each business process to identify critical operations. Worked closely with OST, Executives and Compliance to address their questions and feedback and considered industry learnings. Prepared paper to be presented to Board for approval of identified critical operations. Show less

Melbourne, Victoria, Australia

Led various prudential standard reviews for superannuation clients including comprehensive reviews and annual reviews. Managed teams that advised investment management clients on matters related to risk, compliance, regulatory requirements and governance frameworks. Focused on helping clients implement and maintain a strong risk framework, controls and culture. Managed end-to-end internal audit programs of work including annual and 3 year IA planning, scoping, stakeholder… Show more Led various prudential standard reviews for superannuation clients including comprehensive reviews and annual reviews. Managed teams that advised investment management clients on matters related to risk, compliance, regulatory requirements and governance frameworks. Focused on helping clients implement and maintain a strong risk framework, controls and culture. Managed end-to-end internal audit programs of work including annual and 3 year IA planning, scoping, stakeholder interviews, conducting process analysis, reviewing processes and controls, employing data analysis to develop solutions, communicating IA recommendations, preparing IA reports, holding workshops with client teams, presenting to Audit and Risk Committees and creating IA thought leadership.Developed strategies for clients to respond and adapt to regulatory changes and best practices such as Design and Distribution Obligations, Your Future, Your Super, SPS 515 Strategic Planning and Member Outcomes, adequately managing NFR (non financial risks). Advised a large insurance client on change management due to organisational restructure, changes in key leadership, technology and business strategy. Implemented solutions to manage the risk in change and developed a plan to effectively manage delivery risk and delivered risk.Mentored and coached team members. Championing Deloitte's wellness initiative. Show less

Melbourne, Australia

Led teams to deliver multiple risk reports in the Investment and Wealth industry- including reviews of clients’ investment operations, investment performance approach, proxy voting decisions, HR management, obligations management and outsourcing decisions.Collaborated with APRA experts to develop the future landscape of governance framework; formulated Comprehensive Review strategy centered around SPS 515 Member Outcomes.Seconded to superannuation funds and investment managers… Show more Led teams to deliver multiple risk reports in the Investment and Wealth industry- including reviews of clients’ investment operations, investment performance approach, proxy voting decisions, HR management, obligations management and outsourcing decisions.Collaborated with APRA experts to develop the future landscape of governance framework; formulated Comprehensive Review strategy centered around SPS 515 Member Outcomes.Seconded to superannuation funds and investment managers to assist the Chief Risk Officer to manage risk and control frameworks and compliance obligations. Show less

Melbourne, Australia

Provided subject matter expertise for internal audit and GS007 reports to clients, led design reviews of business and IT controls, and facilitated trainings on control mechanisms

New Delhi

Developed and issued internal audit and risk reports. Conducted design reviews of controls and operating effectiveness testing across multiple investment managers (including SSAE16 / ASAE3402 reporting)Conducted internal audits and offered solutions to management for process upliftment, regulatory compliance and change management.

Master'S Degree, Accounting And Finance

(Full-time)

Bachelor Of Commerce Honours - B.Com(Hons), Finance

Activities and Societies: Parliamentary Debater and Adjudicator, Chief Editor- College Magazine, UK-India Exchange Ambassador of Gargi.

Diplôme D'Etudes En Langue Française- B1, French Studies, B1

Cbse Class 12, Commerce

President of Environment Council, Vice Captain of House