Sep 2024 – Sep 2025 · 1 yr · Mumbai, Maharashtra, India · On-site

• Performed risk control testing across multiple TA and cash processes to evaluate effectiveness of internal controls and compliance with regulatory standards.
• Conducted risk assessments and participated in annual control self-assessment (CSA) cycles, ensuring testing, documentation, and validation of results.
• Led issue management and risk mitigation activities, tracking open items, coordinating with stakeholders, and validating corrective actions.
• Monitored compliance mailboxes to manage escalations, investor complaints, and regulatory queries within SLA.
• Collaborated with audit and oversight teams during walkthroughs, audits, and policy reviews to ensure readiness and transparency.
• Performed access control reviews and periodic entitlement checks to prevent unauthorized system access.
• Developed and delivered risk & compliance reports and dashboards for management, highlighting exposures, exceptions, and mitigation progress.
• Suggested policy/process enhancements to strengthen the control environment based on testing outcomes and audit findings.
• Supported training & knowledge sharing for new joiners on compliance requirements and risk testing methodologies.

Apr 2023 – Jul 2024 · 1 yr 3 mos · India · On-site

• Led risk control testing initiatives, ensuring control effectiveness across cash processing, investor transactions, and compliance workflows.
• Executed risk-based control reporting, highlighting key issues, exceptions, and SLA adherence for management review.
• Coordinated with internal audit and oversight teams to address compliance exceptions, NAV cut-offs, and control deficiencies.
• Monitored regulatory compliance by maintaining updated checklists, AWD records, and audit-ready documentation.
• Oversaw issue management & risk mitigation, tracking root causes, implementing corrective actions, and validating fixes.
• Conducted access control reviews to prevent unauthorized system access and ensure compliance with global standards.
• Presented risk dashboards and reports to senior stakeholders, summarizing exposures, trends, and mitigation status.
• Suggested policy and process improvements based on testing insights and audit findings to strengthen control frameworks.

Feb 2022 – Apr 2023 · 1 yr 2 mos · India · On-site

• Conducted end-to-end risk assessments on operational activities to identify gaps, exceptions, and compliance breaches.
• Supported control testing cycles by preparing testing evidence, documenting results, and assisting with remediation tracking.
• Performed daily mailbox monitoring for risk-related queries, escalations, and exception handling, ensuring timely resolution.
• Assisted in audit compliance by maintaining AWD records, checklists, and risk logs to support regulatory readiness.
• Coordinated with oversight and fund accounting teams to resolve mismatches, exceptions, and reconciliation breaks in line with compliance requirements.
• Contributed to the preparation of risk and compliance reports, summarizing control effectiveness and operational exceptions.