Jan 2022 – Mar 2023 · 1 yr 2 mos · Bangalore Urban, Karnataka, India

• Vice President:Lead Audit Manager
• Lead audit engagements for Commercial Banking & Corporate Investment Banking in EMEA.
• Monitor audit progress, escalate significant issues, and ensure quality reporting.
• Maintain awareness of standard processes and regulatory development.
• Conducted audits on capital markets, equity, debt securities, and regulatory compliance.
• Develop risk & control matrices for AML, OFAC Sanctions, and Anti-Bribery projects.
• Contributed to the firm's QAIP by reviewing audit files for methodology adherence and audit lifecycle completeness.
• Conducted thematic reviews and root cause analysis for recurring audit issues to support continuous improvement initiatives.
• Evaluate internal controls, identify control weaknesses, and suggest remediation.
• Document results using business and technical language in work paper systems.
• Incorporate data analytics (Qlik Sense, Power BI) to enhance audit assurance and efficiency.
• Report and draft identified issues, ensuring timely and high-quality completion.
• Assign and review audit team members' work in coordination with the Audit Director.

Jun 2021 – Dec 2021 · 6 mos · Bangalore Urban, Karnataka, India

• Led audit engagements for Commercial Banking & Corporate Investment Banking in EMEA, ensuring quality reporting and timely completion.
• Developed risk & control matrices for AML, OFAC Sanctions, and Anti-Bribery projects to enhance regulatory compliance.
• Assigned and reviewed audit team members' work, maintaining compliance with audit methodology and industry best practices.

Apr 2019 – Jun 2021 · 2 yrs 2 mos · Bengaluru, Karnataka, India

• Audit Services – Corporate & Institutional Banking
• Establish strong working relationships with stakeholders and audit managers.
• Cross-trained to perform SOX audit assessments and ensure comprehensive audit completion.
• Maintain awareness of standard processes and regulatory development.
• Lead audits in Securities Lending, Asset Servicing, and Global Operations.
• Incorporate data analytics (Qlik Sense, Power BI) to enhance audit assurance and efficiency.
• Assessed audit engagements for conformance with IIA Standards and internal audit policies, and presented findings to senior internal audit leadership.
• Participated in internal QA reviews to ensure audit documentation aligns with IIA standards and regulatory expectations.
• Supported development of QA dashboards to track audit quality metrics and recurring control weaknesses.
• Develop and execute audit tests, communicating findings to senior management.
• Document results using business and technical language in work paper systems.
• Report and draft identified issues, ensuring timely and high-quality completion.
• Assess governance, risk management, and control environment aspects.
• Report results effectively and timely, leading to remedial actions and risk management.
• Maintain compliance with audit methodology, industry best practices, and regulations.

Jun 2018 – Apr 2019 · 10 mos · Mumbai, Maharashtra, India

• Risk Advisory - Financial Services
• Established strong working relationships with stakeholders and audit managers at EY India in Mumbai, Maharashtra, India.
• Led a team of five members, providing coaching and best practice sharing in performing internal audits for AFCC, OFAC Sanctions, AML, SOX 404 and Anti-Bribery & Corruption.
• Developed and executed audit tests, ensuring comprehensive audit completion and communicated findings to senior management.
• Analyzed and fine-tuned AML scenarios, documenting business process controls for risk advisory in the financial services sector.

Dec 2016 – Jun 2018 · 1 yr 6 mos · Bengaluru, Karnataka, India

• Assurance : Risk Assurance : Financial Services - Consent order validations / co-source Internal Audit Engagement
• Conducted Consent order validation as co-source internal auditor for a Global bank, ensuring compliance and risk mitigation.
• Led a team of five members, providing coaching and best practice sharing to enhance audit effectiveness.
• Analyzed and fine-tuned AML scenarios, documenting business process controls for improved efficiency.
• Developed and executed audit tests, communicating findings to senior management for informed decision-making.

Jan 2016 – Dec 2016 · 11 mos · Pune, Maharashtra, India

• Risk & Compliance
• Develop and execute audit tests and communicate findings to senior management
• Perform internal audits for AFCC, OFAC Sanctions, AML, and Anti-Bribery & Corruption.
• Develop a risk-based compliance program for India services.
• Plan and execute AML risk assessments, compliance testing, and reporting.
• Provide Code of Conduct sessions and maintain compliance policies.
• Compliance testing for Anti-Money Laundering, Sanctions, Anti-Bribery and Corruption.

Sep 2014 – Dec 2015 · 1 yr 3 mos · Bengaluru Area, India

• Compliance
• Implement in review MIFID, OFAC, FATCA, FATF regulatory requirements.
• Share best practices regarding AML Compliance and ensure team quality.
• Perform consent order validations and participate in client meetings.
• Review flagged transaction alerts and ensure regulatory compliance.

Dec 2011 – Jul 2014 · 2 yrs 7 mos · Jaipur, Rajasthan, India

• Conducted Embargo filtering alerts for US investment banking transactions, ensuring compliance with internal procedures.
• Investigated suspicious activities related to money laundering and terrorist financing, following OFAC regulations.
• Identified Politically Exposed Persons, Sanctioned Individuals, and Fraudsters to mitigate financial crime risks.