Sonika Agarwal Email & Phone Number

Mumbai Area, India

Currently working for Morgan Stanley Internal Audit DepartmentConducting internal audit of Compliance department specifically covering Anti-Money Laundering regulationsKey areas audited – customer due diligence/ enhanced due diligence; sanctions; transaction monitoring; governance, policies and procedures, risk assessment, training, monitoring and testing, new product approval, location governance reviews, pre-implementation review of the guidelines under general data protection regulation Integral part of the Audit Practices Group and the point of contact for questions related to the Morgan Stanley Internal Audit Methodology, documentation and flow of audit tool.Assisting the US team in user acceptance testing for the enhancements to the Audit tool by leading the testing team from India.Closure verifying critical and high risk issues and action plans raised by Regulators and internal auditorsGenpact Team Lead for Consultants at Morgan Stanley

Mumbai

Currently working for Morgan Stanley Internal Audit Department

Mumbai

Conducting quarterly Limited Review, Transfer Pricing, Statutory and Tax Audit of clients from Financial Services Industry.Major assignments Aditya Birla Finance Limited – Limited Review, Half Yearly Audit and Tax AuditAon Global Insurance Brokers Private Limited – Tax Audit

Mumbai Area, India

Conducting Statutory and Tax Audit – Planning, Execution, Documentation and preparing deliverables, Handling major areas which include revenue, operating expenses, employee benefits, receivables, payables, fixed assets and taxVerifying compliance requirement with respect to Companies Act, Income tax Act and other statues and rules and regulations applicable to the respected entityPerforming internal control reviews for Custody Operations – identifying process weakness and communicating the same to management along with recommendations.Working on SSAE 16 and SOX assignments and reporting the findings to the group team.Major assignmentsJ P Morgan India - Statutory and Tax Audit for their broking and merchant banking services, NBFC and their KPO entitiesJP Morgan Chase – Process understandings and walkthroughs conducted for various processes around fund accounting and custody operations based on the instructions received from group team for SSAE 16 and SOXMacquarie India - Statutory Audit for their NBFC, stock broking and securities trading entitiesReliance Mutual Fund - Internal Control Review for custody operations

Certified Anti Money Laundering Specialist (Cams), Anti Money Laundering

Chartered Accountant

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