CA Pankaj Pathak

Operations Associate

Dubai, United Arab Emirates5 yrs 9 mos experience

Most Likely To Switch

Key Highlights

Five years of diverse audit experience across multiple sectors.
Expertise in regulatory compliance and internal controls.
Strong communication skills with a focus on stakeholder management.

Stackforce AI infers this person is a Financial Services Internal Audit Specialist with extensive regulatory compliance experience.

Contact

pankajpathak111@live.in LinkedIn

Skills

Core Skills

Internal AuditRisk ManagementRegulatory ComplianceFinancial AuditingFinancial Accounting

Other Skills

Internal AuditsRisk AnalysisCompliance ReportingCOBITFinancial AuditsAudit ReportsInternal Control TestingFinanceAssertionsEngagement ManagementService-Level Agreements (SLA)Root CauseKey Performance IndicatorsAuditStandard Operating Procedure (SOP)

About

Qualified Chartered Accountant (CA – India) with five years of experience (including two years with PwC and two years of local UAE experience) in internal audit, risk assessment, and compliance. Experienced in auditing clients in DIFC, ADGM, and onshore in various industries, including the financial sector, retail, FMCG, manufacturing, automobile, banking, construction, real estate, and hospitality. Strong verbal and written communication skills, including report writing, stakeholder management, data analytics, and exposure to various accounting software (e.g., SAP, Oracle, ACL, Power BI) and computer-assisted audit techniques. Specialties: Internal Audit | Risk Management | Internal Control Over Financial Reporting (ICoFR) | Process Reengineering | AML/CFT | IFRS | Data Analytics | Governance | Financial Controls | DFSA / CBUAE Compliance Contact Details- Mail - cappathak@gmail.com

Experience

Uhy james - audit l tax l advisory l risk l technology

Senior Internal Auditor

Apr 2023 – Present · 2 yrs 11 mos · Dubai, United Arab Emirates · On-site

Planned and performed internal audits for offshore and regulated entities (DFSA, ADGM, CBUAE, etc.), including assessments of Anti-Money Laundering (AML) and other regulatory compliance, as well as adherence to internal policies and regulatory frameworks.
Executed assignments within the planned timeline, ensuring timely and efficient project delivery.
Drafted and implemented compliance-driven policies and procedures, including Standard Operating Procedures (SOPs), Risk Control Matrices (RCMs), and process narratives.
Coordinated the remediation of regulatory findings issued by CBUAE, DFSA, and ADGM, ensuring timely closure and compliance alignment.
Maintained effective communication and strong working relationships with clients and process owners to support audit execution and issue resolution.
Drafted comprehensive audit reports detailing key findings, associated risks, and actionable recommendations; presented audit outcomes to the audit committee.

Internal AuditsRisk AnalysisInternal AuditRisk Management

Pwc india

2 roles

Associate 2

Apr 2022 – Apr 2023 · 1 yr · Gurugram, Haryana, India · Hybrid

COBITRisk AnalysisRisk Management

Associate - Internal Audit

Jul 2021 – Mar 2022 · 8 mos · Gurugram, Haryana, India · Hybrid

Executed audits for eight multinational corporations across various sectors, including assignments in policy and procedure development, Risk Control Matrices, process narratives, internal control testing over financial reporting, and evaluating IT general and application controls.
Assessed key business functions including sales (accounts receivable), procurement (accounts payable), inventory, fixed assets, human resources and payroll, treasury cycles, and other operational areas.
Prepared and presented comprehensive audit reports to senior management; tracked and validated remediation plans, and evaluated identified deficiencies and mitigating controls with management.
Collaborated closely with management on audit planning, resource allocation, and setting clear timelines to ensure successful execution.

Financial AuditsAudit ReportsInternal AuditFinancial Auditing

Rwa society

Account Manager

Aug 2019 – Sep 2020 · 1 yr 1 mo · Kanpur, Uttar Pradesh, India · On-site

Prepared Books of Accounts and Financial Statements, including cash flows, while managing accounts payable and receivable to ensure timely vendor payments and accurate reconciliations.
Filed VAT and TDS returns, ensuring compliance with tax regulations, and maintained payment voucher files in line with finance policies.
Supported month-end and year-end closing processes and submitted monthly MIS reports to senior management for review.
Managed the audit process, ensuring regulatory compliance, and identified fraud and misappropriation of Rs. 500,000 during audits of prior-period transactions.

Financial AccountingFinance

Shailesh vishesh & co.

Article Trainee

Aug 2015 – Jan 2019 · 3 yrs 5 mos · Kanpur Area, India

Conducted Internal and Operational Audits for key clients such as the Reserve Bank of India, State Bank of India, and other clients across banking, manufacturing, and FMCG sectors.
Monitored and validated capital, operational, and indirect costs, ensuring compliance with budgetary limits, and vouching for financial transactions (cash, purchases, bank payments) in line with finance SOPs.
Reviewed and reconciled physical inventory, ensuring accurate stock and year-end valuations, while continuously recommending improvements to internal policies and procedures to strengthen controls.
Managed client bookkeeping and accounts maintenance, ensuring all tasks were performed in accordance with financial regulations.

AssertionsInternal AuditsInternal Audit