Parth Mehta Email & Phone Number

New York, New York, Us

- Directed a global team of auditors to assess and develop an in-depth understanding of global financial compliance management and regulatory requirements including transactions, e-communications, privacy, and AML activities.- Led risk-based and regulatory-required audits including planning and scoping, audit test execution, workpaper documentation, and reporting.- Spearheaded walkthroughs with business and technology stakeholders to perform control design assessments, effectiveness testing, and identification of control gaps for reporting to senior management.- Identified risks, provided effective challenge, and prepared commercially effective audit conclusions and findings.- Contributed to the development of a multi-year internal audit strategy and framework for comprehensive review of Compliance and Engineering functions within the firm.- Developed and retained key stakeholder relationships by engaging in continuous monitoring process involving periodic meetings with business and technology stakeholders to assess changes in the risk and control environment.

New York, New York, Us

- Audited Compliance and Legal Engineering functions including firm-wide surveillance monitoring, AML and sanctions screening, control room compliances, funds transfers, and consumer banking compliance.- Provided assurance on the data quality, surveillance system logic, and metrics generation, along with general technology controls for underlying applications. - Spearheaded scoping and planning of the audits, and deployed audit and analytical procedures assessing the design and operating effectiveness of the controls to mitigate risks. - Presented and delivered audit results to the firm's local and global management.

New York, New York, Us

- Identified risks, assessed mitigating controls, and made recommendations on improving the control environment focusing on Credit Risk & Liquidity, Compliance & Surveillance, and firmwide platforms.- Analyzed business and technology processes to evaluate the effectiveness of relevant technology controls.- Analyzed design of IT controls focusing on underlying architecture, availability, performance, and impact on business.- Designed and executed tests to validate application system control code inspection (in Java, Slang, C++) and reperformance using SQL, Excel, or Slang.- Assisted in report preparation and drafting commercially effective audit conclusions and findings.

New York, Ny, Us

Risk Analytics-Assisted global Tier-1 banks in implementing risk management frameworks including data analysis and risk model reviews.-Reviewed and analyzed an Early Warning Indication system and liquidity reporting dashboard.-Provided design services to large FBOs for implementation of Current Expected Credit Loss (CECL) standard including data management, automation, and exception reporting services.-Performed detailed and robust CECL data gap assessment for large FBOs including analysis of existing architecture, regulatory reporting processes, data quality and controls, and data governance.-Achieved alert remediation, compliance reporting, and transaction monitoring review for a large FBO.

New York, Ny, Us

-Managed course content and provided academic support via NYUClasses.-Aided the Assistant Director of Academic Services in project and data needs.

New York, Ny, Us

-Designed and maintained the annual GAB budget.-Performed accounting due diligence and coordinated executive decision making.-Spearheaded vendor relations and executed event planning.

New York, Ny, Us

-Designed and developed workflows in Alteryx to analyze critical processes and data points.-Envisioned and built interactive dashboards using Qlikview to assist in internal audit and decision making.-Created reports and information guides to be used by audit teams and co-sources.-Monitored, assessed, and analyzed organizational risk and controls by confirming information and compliance with policies, procedures, and laws.

Mumbai, Maharashtra, In

-Worked as part of the project team that developed a comprehensive database management module which provided an efficient search mechanism to explore various MBA and Engineering colleges across India. -Assisted in project management and business analysis allowing the company to expedite strategic decision making.

Master’S Degree, Management Of Technology

Bachelor’S Degree, Computer Science

Higher Secondary School (Hsc), Vocational Subject- (Electronics)